Catherine M. Downey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Catherine Mary Downey, CFP®, who also goes by Catherine Mary Downey-rispoli, Catherine Downey-rispoli, Catherine Downey Rispoli, Catherine M Downey Rispoli, Catherine Mary Rispoli, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1995. Catherine had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2026 - February 18, 2026
BIRCHBROOK
June 1, 2009 - April 9, 2019
MORGAN STANLEY
June 1, 2009 - April 4, 2019
MORGAN STANLEY
June 25, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 22, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 7, 2002 - June 26, 2007
A. G. EDWARDS & SONS, INC.
July 24, 1995 - June 26, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
BIRCHBROOK
CRD#: 105164 / SEC#: 801-36582
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BIRCHBROOK
CRD#: 105164 / SEC#: 801-36582
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 803 |
| AUM (Assets Under Management) | $ 258,958,621 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 02/28/2024 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
