Karen Guthart

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-05-17
NY	RA	APPROVED	2025-04-25

TX RA
APPROVED_RES

Since 2025-05-17
NY RA
APPROVED

Since 2025-04-25

Branch Locations

58 South Service Road Suite 400, Melville, NY 11747 • 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

Organization	City	State	From	To
Ubs	Melville	NY	07/2006	04/2025
Morgan Stanley Smith Barney Llc	Melville	NY	04/2025	Present

07/2006 → 04/2025

Ubs

Melville, NY
04/2025 → Present

Morgan Stanley Smith Barney Llc

Melville, NY

Previous Registrations

2021-10-26 → 2025-05-08

Ubs Financial Services Inc.

Melville, NY

Plainview, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-11-25

S63 Uniform Securities Agent State Law Examination

2008-11-25

Other Names

Karen Gale Wasserspring

View on SEC IAPD

More in Melville, NY

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