CM
CM
Catherine Mares
37 Years of Experience
Palm Desert, CA
2 DisclosuresBroker
Catherine Mares is a registered investment advisor at Morgan Stanley, based in Palm Desert, CA, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
74199 El Paseo, Suite 201, Palm Desert, CA, 92260
Get directionsHistory
Regulatory History (2)
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Customer Dispute
April 2010Denied
Customer Dispute
February 2000Denied
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2009 - June 2009 · 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2009 - June 2009 · 2 mos
Banc of America Investment Services, INC.Broker
July 1999 - April 2009 · 9 yrs 9 mos
Banc of America Investment Services, INC.
May 1998 - April 2009 · 10 yrs 11 mos
Ba Investment Services, INC.Broker
April 1988 - July 1999 · 11 yrs 3 mos
State Registrations19 states
ALAZCACOFLIDMDMIMTNCNJNMNVNYORSCTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.