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Kari L Groot

Morgan Stanley

Kirkland, WA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-20
WA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-01-20
  • WA RA
    APPROVED
    Since 2009-06-01

Branch Locations

4000 Carillon Point Suite 600, Kirkland, WA 98033 • 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 Kirkland WA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Kirkland, WA
Previous Registrations
Other Businesses

*479887 - Estate ; Investment related Yes/; Renton, Washington; 01/2022; During business hours: 0; After business hours: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-25
S63 Uniform Securities Agent State Law Examination 2001-04-02
  • S66 Uniform Combined State Law Examination
    2007-05-25
  • S63 Uniform Securities Agent State Law Examination
    2001-04-02
Other Names
  • Kari L Raines

View on SEC IAPD

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