Kathy Elaine Robertson

CRD 2079425 · Morgan Stanley · Newport Beach, CA

IA RegisteredBroker

Also appears in the source record as: Kathy E Robertson

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 (48): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
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 (5)

From the source registration record · current first

Morgan StanleyCurrent
Newport Beach, CA · IA capacity

Feb 3, 2012 → present
Wells Fargo Advisors, LLC
BD capacity

Jul 1, 2003 → Feb 9, 2012
Wells Fargo Advisors, LLC
IA capacity

Jul 1, 2003 → Feb 9, 2012
Prudential Securities Incorporated
IA capacity

Dec 11, 2000 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

Aug 30, 2000 → Jul 1, 2003

Source & corrections

Where this page comes from

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