Catherine M. Greenspan
Professional summary
Catherine Marie Greenspan, who also goes by Catherine Marie Atkins, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Ashland, Oregon and NYLIFE SECURITIES LLC located in Ashland, Oregon.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Catherine has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Marie Greenspan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2025 - Present
EAGLE STRATEGIES LLC
Office #1: 696 Mistletoe Road Suite 203, Ashland, OR 97520November 8, 2019 - Present
NYLIFE SECURITIES LLC
Office #1: 696 Mistletoe Road Suite 203, Ashland, OR 97520December 14, 2011 - May 7, 2013
MORGAN STANLEY
December 14, 2011 - May 7, 2013
MORGAN STANLEY
October 25, 2010 - September 14, 2011
MORGAN STANLEY
October 25, 2010 - September 14, 2011
MORGAN STANLEY
September 19, 2008 - September 21, 2010
1ST GLOBAL ADVISORS INC
September 8, 2008 - September 21, 2010
1ST GLOBAL CAPITAL CORP.
October 12, 2006 - June 13, 2008
UBS FINANCIAL SERVICES INC.
June 14, 2006 - June 13, 2008
UBS FINANCIAL SERVICES INC.
February 1, 2006 - May 16, 2006
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/23/2023)
(3/12/2021)
(1/8/2021)
(8/18/2022)
(3/26/2024)
(8/21/2024)
(1/9/2025)
(1/9/2024)
(8/14/2024)
(3/2/2022)
(1/16/2020)
(2/15/2023)
(7/25/2024)
(1/15/2020)
(10/26/2021)
(10/31/2022)
(3/31/2025)
(12/6/2019)
(10/13/2025)
(10/8/2021)
(1/9/2024)
(6/1/2020)
Exams
Series 7TO
Date: 6/23/2023
General Securities Representative ExaminationSeries 6TO
Date: 11/8/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
