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Kathryn A Caldwell

Morgan Stanley

Austin, TX

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-04
MI RA APPROVED 2025-01-29
  • TX RA
    APPROVED
    Since 2025-02-04
  • MI RA
    APPROVED
    Since 2025-01-29

Branch Locations

8701 Bee Caves Road Suite 300, Austin, TX 78746 • 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
Austin Radio Network Austin TX 04/2016 10/2016
Ii Technology, Llc Austin TX 10/2016 10/2018
Espn Austin TX 06/2015 10/2024
Ii Technology, Llc Austin TX 10/2018 02/2020
Ii Technology, Llc Austin TX 03/2020 03/2023
Lpl Financial Llc Austin TX 04/2023 03/2024
Morgan Stanley Austin TX 01/2025 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-05-26
S65 Uniform Investment Adviser Law Examination 2018-10-05
  • S63 Uniform Securities Agent State Law Examination
    2023-05-26
  • S65 Uniform Investment Adviser Law Examination
    2018-10-05
Other Names
  • Katie Caldwell
  • Kathryn Ann Caldwell
  • Kathryn Caldwell

View on SEC IAPD

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