Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CATHY ANN DAWSON
CATHY ANN DEWESE, CATHY ANN MUNOZ
CRD#: 2857689
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1201 Wills Street
Suite 700
Baltimore, MD 21231
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2006 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)
License(s)

State Registrations

B
Alaska 6/19/2020
B
Montana 12/5/2012
B
Arizona 6/1/2009
B
Nevada 12/5/2011
B
California 2/4/2011
B
New Jersey 6/1/2009
B
Colorado 2/4/2011
B
New Mexico 2/4/2011
B
Connecticut 2/4/2011
B
New York 6/1/2009
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 3/4/2011
B
Georgia 6/1/2009
B
Oregon 11/16/2023
B
Illinois 2/4/2011
B
Pennsylvania 6/1/2009
B
Indiana 2/4/2011
B
Rhode Island 2/4/2011
B
Iowa 9/19/2024
B
South Carolina 2/4/2011
B
Kentucky 2/4/2011
B
South Dakota 2/14/2023
B
Maine 11/12/2012
B
Texas 9/27/2016
B
Maryland 6/1/2009
IA
Texas 4/15/2020
IA
Maryland 6/1/2009
B
Utah 2/4/2011
B
Massachusetts 2/4/2011
B
Virginia 6/1/2009
B
Michigan 2/4/2011
B
Washington 4/30/2021
B
Minnesota 3/23/2021
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1201 Wills Street Suite 700, Baltimore, MD 21231
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1201 Wills Street Suite 700, Baltimore, MD 21231
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/01/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BALTIMORE, MD
B
 06/16/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BALTIMORE, MD
B
 03/21/2006 - 06/02/2006 MORGAN STANLEY DW INC. (CRD#:7556) NEWARK, DE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.