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Sally Kathleen Harte

Morgan Stanley

Pasadena, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-02-19
TX RA APPROVED 2021-02-19
  • CA RA
    APPROVED
    Since 2021-02-19
  • TX RA
    APPROVED
    Since 2021-02-19

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • 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
Citigroup Global Markets Inc. Los Angeles CA 02/2000 Present
Morgan Stanley Smith Barney Pasadena CA 06/2009 Present
  • 02/2000 → Present
    Citigroup Global Markets Inc.
    Los Angeles, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-19
S63 Uniform Securities Agent State Law Examination 2004-05-15
  • S65 Uniform Investment Adviser Law Examination
    2021-02-19
  • S63 Uniform Securities Agent State Law Examination
    2004-05-15

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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