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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

CATHERINE GUIDERA

Advisor at MORGAN STANLEY

New York, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 5, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 8, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 8, 1986
First registration: Jun 5, 2002
Dual registered: yes, broker-dealer
Other names: CATHERINE GUIDERA|CATHERINE LOMBARDI|CATHERINE L GUIDERA
IAPD individual key: 1134825

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jul 8, 2022	n/a	yes	New York, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 1, 2014	Jul 19, 2022	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 14, 2012	Aug 7, 2014	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 7, 2012	no	Paramus, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	RIDGEWOOD, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 5, 2002	Apr 2, 2007	no	RIDGEWOOD, NJ\|RIDGEWOOD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Jul 19, 2022	Jul 8, 2022	-11	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Aug 7, 2014	Aug 1, 2014	-6	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Mar 7, 2012	Feb 14, 2012	-22	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 7, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 1, 2014 to Jul 19, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 14, 2012 to Aug 7, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jun 5, 2002 to Apr 2, 2007factForm ADV

Dated events

Occurred
Jul 19, 2022
Advisor changed firm
Catherine Guidera left Ubs Financial Services Inc. for Morgan Stanley (registered 2022-07-08)
Form ADVobserved 5 days ago