Shiv Yashwant Kathrotiya

CRD 6627564

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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:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-05-22
TX	RA	APPROVED	2022-01-06
MD	RA	APPROVED	2021-11-22

NY RA
APPROVED

Since 2024-05-22
TX RA
APPROVED

Since 2022-01-06
MD RA
APPROVED

Since 2021-11-22

Branch Locations

2000 Westchester Avenue, Purchase, NY 10577-2530 • USA

1300 Thames Street Harbor Point Phase I, Baltimore, MD 21230 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Baltimore	MD	07/2017	Present
Heritage Financial Consultants Llc	Hunt Valley	MD	03/2016	05/2017
Towson University	Towson	MD	08/2013	05/2017
Morgan Stanley & Co., Llc	Baltimore	MD	01/2022	Present

07/2017 → Present

Morgan Stanley Smith Barney Llc

Baltimore, MD
03/2016 → 05/2017

Heritage Financial Consultants Llc

Hunt Valley, MD
08/2013 → 05/2017

Towson University

Towson, MD
01/2022 → Present

Morgan Stanley & Co., Llc

Baltimore, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-22

S66 Uniform Combined State Law Examination

2021-11-22

View on SEC IAPD

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