Kenneth Frank Herrington

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-04-28
KY	RA	APPROVED	2010-04-22

TX RA
APPROVED_RES

Since 2010-04-28
KY RA
APPROVED

Since 2010-04-22

Branch Locations

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Louisville	KY	04/2010	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

04/2010 → Present

Morgan Stanley Smith Barney

Louisville, KY
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2004-01-08 → 2010-04-22

Ubs Financial Services Inc.

Louisville, KY

Louisville, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-06-13
S63	Uniform Securities Agent State Law Examination	1983-06-15

S65 Uniform Investment Adviser Law Examination

1997-06-13
S63 Uniform Securities Agent State Law Examination

1983-06-15

Other Names

Kenneth Frank Herrington
Kenneth F Herrington
Kenneth Frank Herrington Iii

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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