Alice Katz

CRD 1259711 · Morgan Stanley · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Alice Schwartz

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 (38): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Maryland · Massachusetts · Michigan · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (19)

From the source registration record · current first

Morgan StanleyCurrent
Los Angeles, CA · IA capacity

Feb 2, 2022 → present
Wells Fargo Clearing Services, LLC
IA capacity

Aug 31, 2017 → Jan 18, 2022
Wells Fargo Clearing Services, LLC
BD capacity

Aug 30, 2017 → Jan 18, 2022
Morgan Stanley
BD capacity

Jun 1, 2009 → Aug 31, 2017
Morgan Stanley
IA capacity

Jun 1, 2009 → Aug 31, 2017
Citigroup Global Markets Inc.
BD capacity

Apr 27, 2005 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Apr 27, 2005 → Jun 1, 2009
A. G. Edwards & Sons, Inc.
BD capacity

Jun 28, 2002 → Apr 19, 2005
A. G. Edwards & Sons, Inc.
IA capacity

Jun 28, 2002 → Apr 19, 2005
Ryan, Beck & Co., LLC.
BD capacity

Apr 29, 2002 → Jul 26, 2002
Gruntal & Co., L.L.C.
BD capacity

Oct 10, 2001 → May 13, 2002
Bel Air Securities LLC
BD capacity

Jul 21, 1998 → Jan 31, 2000
Bear, Stearns & Co. Inc.
BD capacity

Jan 16, 1998 → Jul 1, 1998
Everen Securities, Inc.
BD capacity

Mar 13, 1991 → Feb 1, 1996
Kemper Securities Group, Inc.
BD capacity

Sep 4, 1990 → Feb 19, 1991
Bateman Eichler, Hill Richards, Incorporated
BD capacity

Feb 17, 1989 → Sep 4, 1990
H.J. Meyers & Co., Inc.
BD capacity

Apr 19, 1988 → Feb 27, 1989
Morgan Stanley & Co., Incorporated
BD capacity

May 30, 1986 → Mar 17, 1988
Morgan, Olmstead, Kennedy & Gardner, Incorporated
BD capacity

Oct 23, 1985 → May 28, 1986

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1259711 ↗ FINRA BrokerCheck record for CRD 1259711 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.