• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
AMI K FORTE
AMI KATHRYN FORTE
CRD#: 2457536
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018IAMORGAN STANLEY (CRD# 149777)2009 - 2016 (6 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)IAMORGAN STANLEY (CRD# 7556)2000 - 2007 (7 years)
Disclosure(s)
View By:
12/20/2018
Regulatory
Final
3/23/2016
Employment Separation After Allegations
3/12/2013
Customer Dispute
Award / Judgment
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 04/22/2016 MORGAN STANLEY (CRD#:149777) PALM HARBOR, FL
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PALM HARBOR, FL
IA
01/14/2000 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PALM HARBOR, FL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.