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Kelly Jo Herman

Morgan Stanley

Saginaw, MI

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-03-29
MI RA APPROVED 2010-11-19
  • TX RA
    APPROVED
    Since 2011-03-29
  • MI RA
    APPROVED
    Since 2010-11-19

Branch Locations

4760 Fashion Square Boulevard, Saginaw, MI 48604 • 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
Citigroup Global Markets Inc. Saginaw MI 11/2005 Present
Morgan Stanley Smith Barney Saginaw MI 06/2009 Present
  • 11/2005 → Present
    Citigroup Global Markets Inc.
    Saginaw, MI
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Saginaw, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-18
S63 Uniform Securities Agent State Law Examination 1997-07-16
  • S66 Uniform Combined State Law Examination
    2010-11-18
  • S63 Uniform Securities Agent State Law Examination
    1997-07-16
Other Names
  • Kelly Jo Hermon
  • Kelly Jo Schultz

View on SEC IAPD

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TIMOTHY LEE BALDWIN
CHARISSE LEIGH VERESH

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · SAGINAW, MI
RAYMOND JAMES & ASSOCIATES, INC. · SAGINAW, MI
CWM, LLC · Saginaw, MI
J.P. MORGAN SECURITIES LLC · SAGINAW, MI
OSAIC WEALTH, INC. · SAGINAW, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · Saginaw, MI
OSAIC WEALTH, INC. · SAGINAW, MI
EQUITABLE ADVISORS, LLC · SAGINAW, MI

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