Catherine Sharp Cary

CRD 4662708 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chattanooga, TN

IA RegisteredBroker

Also appears in the source record as: Catherine Cary; Catherine Elizabeth Sharp Miss; Catherine Elizabeth Sharp; Cathy Elizabeth Sharp Miss; Catherine Sharp Smith

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (19): Alabama · Arizona · California · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Kentucky · Massachusetts · Michigan · Nevada · North Carolina · Ohio · Rhode Island · South Carolina · Tennessee · Texas · Washington
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4662708 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chattanooga, TN · IA capacity

Jun 1, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chattanooga, TN · BC capacity

start not retrieved → present
Ameriprise Financial Services, Inc.
IA capacity

Aug 16, 2005 → Jun 1, 2009
Ameriprise Financial Services, Inc.
BD capacity

Aug 4, 2003 → Jun 1, 2009
Ids Life Insurance Company
BD capacity

Aug 4, 2003 → Jul 3, 2006

Source & corrections

Where this page comes from

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