Kathleen Mary Valentine

CRD 1216386 · Morgan Stanley · Palm Desert, CA

IA RegisteredBroker

Also appears in the source record as: Kathy M Dougherty

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (45): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1216386 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (9)

From the source registration record · current first

Morgan StanleyCurrent
Palm Desert, CA · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
BD capacity

Dec 1, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Dec 1, 2008 → Jun 1, 2009
Ubs Financial Services Inc.
IA capacity

Aug 10, 1999 → Dec 8, 2008
Ubs Financial Services Inc.
BD capacity

Jul 12, 1999 → Dec 8, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 15, 1990 → Jul 14, 1999
Shearson Lehman Hutton Inc.
BD capacity

Sep 10, 1984 → Jun 6, 1990
E. F. Hutton & Company Inc
BD capacity

Jan 19, 1984 → Nov 16, 1984
Lehman Brothers Kuhn Loeb Incorporated
BD capacity

Dec 21, 1983 → Jan 30, 1984

Source & corrections

Where this page comes from

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