Cathleen M.

Cathleen M. has extensive work experience in the financial industry. Cathleen began their career at Merrill Lynch in 1998 as a Specialist and then moved on to become an AVP at Merrill Lynch Investment Managers in 2001. In 2004, they joined UBS as an Executive Director, where they held various roles including leading the Business Selection & Conflict Clearance team for Private Side Investment Banking. During their time at UBS, Cathleen was responsible for evaluating transactions, reviewing and updating policies and procedures, and overseeing cross-business operations projects. In 2019, they joined Solomon Partners as the Chief Compliance Officer.

Cathleen M. earned a Bachelor of Science (BS) degree in Physics from Seton Hall University, where they studied from 1993 to 1997. Prior to attending university, they completed their secondary education at The Madeira School from 1989 to 1991. Before that, they attended St. Andrew's-Sewanee School from 1988 to 1989 and The Pingry School from 1984 to 1988, but did not obtain any specific degrees or fields of study from these schools. Cathleen M. also holds additional certifications, including the CAMS certification from ACAMS, which they obtained in August 2019. Cathleen has not specified the month or year they obtained the Series 7, 63, 4, 24 / IB, GS, OS, BP, GP, OP, CR designations from FINRA (Financial Industry Regulatory Authority).