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Kathleen Louise Thompson

Morgan Stanley

Richmond, VA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-03
VA RA APPROVED 2022-12-06
  • TX RA
    APPROVED
    Since 2025-06-03
  • VA RA
    APPROVED
    Since 2022-12-06

Branch Locations

901 East Byrd Street Suite 2000, Richmond, VA 23219 • 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
Davenport & Company Llc Richmond VA 01/2013 11/2022
Morgan Stanley Richmond VA 11/2022 Present
Morgan Stanley Private Bank, N.A New York NY 07/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-04
S63 Uniform Securities Agent State Law Examination 2007-10-04
  • S65 Uniform Investment Adviser Law Examination
    2010-05-04
  • S63 Uniform Securities Agent State Law Examination
    2007-10-04
Designations
Other Names
  • Katie Louise Smith
  • Kathleen Louise Smith
  • Katie Thompson
  • Kathleen Louise Smith

View on SEC IAPD

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Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA

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