Kathryn O Cocreham

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → 10/2018
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 01/2019 → 09/2019
  Oppenheimer & Co.
  Scottsdale, AZ
• 10/2019 → 09/2020
  Solium Financial Services Llc
  Tempe, AZ
• 09/2020 → Present
  Morgan Stanley
  Scottsdale, AZ

Previous Registrations

• 2019-01-17 → 2019-10-04
  Oppenheimer & Co. Inc.
  Scottsdale, AZ
• 2010-03-01 → 2018-10-29
  Charles Schwab & Co., Inc.
  Phoenix, AZ
  Lone Tree, CO
• 2009-02-24 → 2010-01-28
  Thrivent Investment Management Inc.
  Thousand Oaks, CA
  Scottsdale, AZ

Exams

• S66 Uniform Combined State Law Examination
  2009-02-18
• S63 Uniform Securities Agent State Law Examination
  2007-08-02

Other Names

• Kathryn A Osier
• Katie Ann Osier
• Kathryn Ann Osier
• Kathryn O Cocreham
• Katie Cocreham
• Kathryn Cocreham
• Kathryn Osier Cocreham