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Catherine Marie Greenspan

Nylife Securities LLC

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About Catherine Marie Greenspan

Catherine Greenspan is a registered representative with Nylife Securities LLC in Ashland, OR. Catherine has been in the financial industry since March 27, 2013. Catherine has a wide range of experience in the financial industry. Catherine has held previous positions with Morgan Stanley, Morgan Stanley Smith Barney, 1st Global Capital Corp., UBS Financial Services Inc., and Morgan Keegan & Company, Inc.

Firm Information

Catherine Greenspan is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Catherine Greenspan’s Registration & Firm History

OR

11/08/2019 - Present

Nylife Securities LLC (ASHLAND OR)

MI

12/14/2011 - 05/07/2013

MORGAN STANLEY (BIRMINGHAM MI)

ID

10/25/2010 - 09/14/2011

MORGAN STANLEY SMITH BARNEY (BOISE ID)

OR

09/08/2008 - 09/21/2010

1ST GLOBAL CAPITAL CORP. (KLAMATH FALLS OR)

TN

06/14/2006 - 06/13/2008

UBS FINANCIAL SERVICES INC. (CHATTANOOGA TN)

TN

02/01/2006 - 05/16/2006

MORGAN KEEGAN & COMPANY, INC. (CHATTANOOGA TN)

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Licenses & Designations

BC

Issued 12/06/2019

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/06/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/23/2023

Series 7TO - General Securities Representative Examination

BC

Issued 11/08/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/11/2019

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Catherine Marie Greenspan.
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