Best Investors Account Sign in

Kathleen Murphy Dwyer

Morgan Stanley

Santa Cruz, CA

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
CA RA APPROVED 2017-05-10
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2017-05-10

Branch Locations

6004 La Madrona Drive, Santa Cruz, CA 95060 • 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 San Jose CA 01/2017 06/2017
Golden Gate University San Francisco CA 04/2015 12/2016
Morgan Stanley Santa Cruz CA 06/2017 Present
Morgan Stanley Private Bank, National Association New York NY 07/2017 Present
  • 01/2017 → 06/2017
    Morgan Stanley
    San Jose, CA
  • 04/2015 → 12/2016
    Golden Gate University
    San Francisco, CA
  • 06/2017 → Present
    Morgan Stanley
    Santa Cruz, CA
  • 07/2017 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-10
  • S66 Uniform Combined State Law Examination
    2017-05-10
Other Names
  • Kathleen M Dwyer

View on SEC IAPD

Other Firms

EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
VALIC FINANCIAL ADVISORS, INC.
FIFTH THIRD SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

TIFFANY DANIELLE HAMMER
NIKOLAS MARSHAL BARR
NAYANA T D DARRAH
Jon Michael Hanson
Kenneth A Evans
Josiah T Clymer
RICHARD MICHAEL KAPCHUK
MAGGIE MERIDETH MARTIN

Other Offices

EDWARD JONES · SCOTTS VALLEY, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Scotts Valley, CA
CETERA INVESTMENT ADVISERS LLC · SCOTTS VALLEY, CA
J.P. MORGAN SECURITIES LLC · SCOTTS VALLEY, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Scotts Valley, CA
VALIC FINANCIAL ADVISORS, INC. · SCOTTS VALLEY, CA
EDWARD JONES · SCOTTS VALLEY, CA
EDWARD JONES · Scotts Valley, CA

More in Santa Cruz, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor