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Kathleen Mary Mitton

Morgan Stanley

Shreveport, LA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-03-23
AR RA APPROVED 2020-01-30
LA RA APPROVED 2020-01-30
  • TX RA
    APPROVED
    Since 2020-03-23
  • AR RA
    APPROVED
    Since 2020-01-30
  • LA RA
    APPROVED
    Since 2020-01-30

Branch Locations

333 Texas Street Regions Tower, Shreveport, LA 71101 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Shreveport LA 05/2006 01/2020
Bank Of America, Na Shreveport LA 12/2009 01/2020
Morgan Stanley Shreveport LA 01/2020 Present
  • 05/2006 → 01/2020
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Shreveport, LA
  • 12/2009 → 01/2020
    Bank Of America, Na
    Shreveport, LA
  • 01/2020 → Present
    Morgan Stanley
    Shreveport, LA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-31
  • S66 Uniform Combined State Law Examination
    2007-01-31
Other Names
  • Kathy Mary Mitton

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · SHREVEPORT, LA
CYPRESS FUND MANAGEMENT, LLC · SHREVEPORT, LA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SHREVEPORT, LA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SHREVEPORT, LA
ADKINS SEALE CAPITAL MANAGEMENT LLC · SHREVEPORT, LA
HMV WEALTH ADVISORS, LLC · SHREVEPORT, LA
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · Shreveport, LA
CETERA INVESTMENT ADVISERS LLC · SHREVEPORT, LA

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