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Heather Thompson

Morgan Stanley

Louisville, KY

CRD 3246440

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
KY RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • KY RA
    APPROVED
    Since 2009-06-01

Branch Locations

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Louisville KY 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-17
S63 Uniform Securities Agent State Law Examination 2000-10-09
  • S66 Uniform Combined State Law Examination
    2010-11-17
  • S63 Uniform Securities Agent State Law Examination
    2000-10-09
Other Names
  • Heather M Ruzanka
  • Heather Marie Ruzanka
  • Heather Ruzanka

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
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WAYCROSS PARTNERS, LLC · LOUISVILLE, KY

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