Thomas Yates Catlett

CRD 1600005 · Morgan Stanley · Richmond, VA

IA RegisteredBroker

Also appears in the source record as: Tom Catlett

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 63Series 65SIESeries 7Series 3
Registered states (49): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 40
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 (8)

From the source registration record · current first

Morgan StanleyCurrent
Richmond, VA · IA capacity

May 13, 2010 → present
Davenport & Company LLC
BD capacity

Jan 1, 2009 → May 10, 2010
Davenport & Company LLC
IA capacity

Dec 9, 2008 → May 10, 2010
Three Chopt Capital Management LLC
IA capacity

May 21, 2007 → Dec 31, 2008
Citigroup Global Markets Inc.
IA capacity

Apr 15, 2003 → May 26, 2005
Citigroup Global Markets Inc.
BD capacity

Jan 18, 1995 → May 26, 2005
Salomon Brothers Inc.
BD capacity

Dec 18, 1997 → Sep 1, 1998
Kidder, Peabody & Co. Incorporated
BD capacity

Dec 23, 1986 → Jan 10, 1995

Source & corrections

Where this page comes from

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