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Kathleen Ann Johnson

Morgan Stanley

Greenwood Village, CO

Littleton, CO

CRD 2395301

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-06-22
CO RA APPROVED 2013-08-07
NM RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2018-06-22
  • CO RA
    APPROVED
    Since 2013-08-07
  • NM RA
    APPROVED
    Since 2009-06-01

Branch Locations

5251 Dtc Parkway Suite 1500, Greenwood Village, CO 80111 • United States

Littleton, CO • 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 Greenwood Village CO 06/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Albuquerque, NM
  • 2003-07-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Albuquerque, NM
    Albuquerque, NM
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-11
S63 Uniform Securities Agent State Law Examination 1995-10-26
  • S65 Uniform Investment Adviser Law Examination
    2001-08-11
  • S63 Uniform Securities Agent State Law Examination
    1995-10-26
Other Names
  • Kitty Needham
  • Kathleen Ann Needham

View on SEC IAPD

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JOHN MICHAEL DODDS
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Nearby Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO

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