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Kathryn N Miller

Morgan Stanley

Orland Park, IL

San Diego, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-13
TX RA APPROVED_RES 2021-07-30
CA RA APPROVED 2021-07-14
  • IL RA
    APPROVED
    Since 2024-11-13
  • TX RA
    APPROVED_RES
    Since 2021-07-30
  • CA RA
    APPROVED
    Since 2021-07-14

Branch Locations

15341 South 94Th Avenue Suite 200, Orland Park, IL 60462 • United States

4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • 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 Chicago IL 09/2015 09/2017
Ubs Financial Services Inc. Louisville KY 09/2017 04/2021
Morgan Stanley Chicago IL 06/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-22
S63 Uniform Securities Agent State Law Examination 2015-03-09
  • S66 Uniform Combined State Law Examination
    2016-11-22
  • S63 Uniform Securities Agent State Law Examination
    2015-03-09
Other Names
  • Nicole Miller
  • Kathryn Nicole Miller

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Orland Park, IL
OSAIC WEALTH, INC. · Orland Park, IL
CETERA INVESTMENT ADVISERS LLC · ORLAND PARK, IL
W&S BROKERAGE SERVICES, INC. · ORLAND PARK, IL
WAVE & BREAKOUT L.L.C. · ORLAND PARK, IL
HIGHPOINT PLANNING PARTNERS · ORLAND PARK, IL
WELLS FARGO CLEARING SERVICES, LLC · ORLAND PARK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ORLAND PARK, IL

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