Cathleen E. Smart
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.
Cathleen Elisabeth Smart, who also goes by Cathleen Elisabeth Hills, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 2013. Cathleen had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2013 - August 4, 2014
MILLER TABAK ASSET MANAGEMENT
Primary Firm SEC Registration
MILLER TABAK ASSET MANAGEMENT
CRD#: 147381 / SEC#: 801-69239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
MILLER TABAK ASSET MANAGEMENT
CRD#: 147381 / SEC#: 801-69239
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,128 |
| AUM (Assets Under Management) | $ 1,460,773,564 |
Red Flags
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