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Cathy Shattuck
37 Years of Experience
Bainbridge Island, WA
7 DisclosuresBroker
Cathy Shattuck is a registered investment advisor at Morgan Stanley, based in Bainbridge Island, WA, 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
400 Winslow Way East, Suite 200, Bainbridge Island, WA, 98110
Get directionsHistory
Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2013Denied
Customer Dispute
October 2009Denied
Customer Dispute
December 2003Settled
Customer Dispute
November 2002Settled
Customer Dispute
September 2002Denied
Customer Dispute
June 2002Settled
Customer Dispute
September 1993Settled
Employment History
Current Registrations
Morgan Stanley
February 2024 - Present · 2 yrs 3 mos
Morgan StanleyBroker
February 2024 - Present · 2 yrs 3 mos
Previous Registrations
RBC Capital Markets, LLC
April 2003 - August 2025 · 22 yrs 4 mos
RBC Capital Markets, LLCBroker
April 2003 - March 2024 · 20 yrs 11 mos
Citigroup Global Markets INC.
June 1994 - April 2003 · 8 yrs 10 mos
Citigroup Global Markets INC.Broker
May 1994 - April 2003 · 8 yrs 11 mos
Prudential Securities IncorporatedBroker
April 1988 - May 1994 · 6 yrs 1 mo
State Registrations22 states
AKAZCACOFLHIIDILMDMIMOMTNVNYOHORSCTNUTVAVTWA
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.