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Katherine Figus

Morgan Stanley

Chicago, IL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-07-23
IL RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2018-07-23
  • IL RA
    APPROVED
    Since 2009-06-01

Branch Locations

233 South Wacker Drive Suite 8600, Chicago, IL 60606 • 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 11/2015 Present
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Chicago, IL
  • 2006-04-26 → 2007-04-02
    Morgan Stanley Dw Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
Other Businesses

KDF Collaborations LLC; Investment related Yes; Home Improvement and Property Development; Sole Proprietor / Owner / Partner(proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: 0; After business hours: 1; Will be involved in terms of ideas and planning.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-25
S63 Uniform Securities Agent State Law Examination 2005-06-10
  • S65 Uniform Investment Adviser Law Examination
    2006-04-25
  • S63 Uniform Securities Agent State Law Examination
    2005-06-10
Other Names
  • Kathy Borowski
  • Katherine Borowski

View on SEC IAPD

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