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Kathleen M Griffin

Morgan Stanley

Norwell, MA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-02
CT RA APPROVED 2026-06-18
  • TX RA
    APPROVED
    Since 2026-07-02
  • CT RA
    APPROVED
    Since 2026-06-18

Branch Locations

141 Longwater Drive Suite 102, Norwell, MA 02061 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hingham MA 03/2015 04/2017
Unemployed Cohasset MA 04/2017 11/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 11/2018 04/2021
Bank Of America, N.A. Boston MA 01/2019 04/2021
Facet Wealth Baltimore MD 04/2021 03/2026
Morgan Stanley Smith Barney Llc Norwell MA 03/2026 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2026-06-17
S66 Uniform Combined State Law Examination 2015-11-24
  • S63 Uniform Securities Agent State Law Examination
    2026-06-17
  • S66 Uniform Combined State Law Examination
    2015-11-24
Designations
Other Names
  • Kathleen M Goldsmith
  • Kathleen M Griffin
  • Kathleen Marie Goldsmith
  • Kathleen Griffin
  • Kathleen Marie Griffin

View on SEC IAPD

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Other Offices

ESSENTIAL ASSET MANAGEMENT, LLC · NORWELL, MA
BAY COLONY ADVISORS · NORWELL, MA
FLAGSHIP HARBOR ADVISORS, LLC · NORWELL, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Norwell, MA
LPL FINANCIAL LLC · NORWELL, MA
GORMAN FINANCIAL MANAGEMENT · NORWELL, MA
DIVERSIFIED FINANCIAL MANAGEMENT · NORWELL, MA
RBC CAPITAL MARKETS, LLC · NORWELL, MA

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