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Kathleen S Morman

Morgan Stanley

Cincinnati, OH

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-22
OH RA APPROVED 2021-04-21
  • TX RA
    APPROVED_RES
    Since 2021-04-22
  • OH RA
    APPROVED
    Since 2021-04-21

Branch Locations

221 East 4Th Street Atrium Building, Cincinnati, OH 45202 • 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
Ubs Financial Services Inc. Cincinnati OH 02/2007 04/2021
Morgan Stanley Cincinnati OH 04/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-02-20
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S65 Uniform Investment Adviser Law Examination
    2018-02-20
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09
Other Names
  • Kathleen Susan Morman
  • Kathy Morman
  • Kathleen Susan Froehle
  • Kathy Froehle

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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