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Detailed Report
DENISE M KELLY
DENISE MARIE KELLY, DENISE KELLY, DENISE MARIE KOZIKOWSKI
CRD#: 1216176
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 850 Morrison Drive
Suite 800
Charleston, SC 29403
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2009 (8 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 2000 (3 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1997 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1985 - 1988 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2009 (7 years)
License(s)

State Registrations

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Alabama 11/5/2020
B
New Hampshire 2/9/2022
B
Alaska 4/29/2022
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New Jersey 12/7/2012
B
Arizona 8/9/2017
IA
New Jersey 12/7/2012
B
Arkansas 5/11/2022
B
New Mexico 6/9/2016
B
California 4/2/2014
B
New York 12/7/2012
B
Colorado 2/9/2022
B
North Carolina 6/18/2016
B
Connecticut 8/9/2017
IA
North Carolina 1/6/2022
B
Delaware 8/9/2017
B
North Dakota 5/25/2022
B
District of Columbia 8/30/2021
B
Ohio 2/9/2022
B
Florida 4/2/2014
B
Oklahoma 5/25/2022
B
Georgia 8/9/2017
B
Oregon 10/15/2018
B
Hawaii 5/25/2022
B
Pennsylvania 8/9/2017
B
Idaho 5/25/2022
B
Puerto Rico 4/29/2020
B
Illinois 8/9/2017
B
Rhode Island 8/9/2017
B
Indiana 8/9/2017
B
South Carolina 8/13/2018
B
Iowa 5/25/2022
IA
South Carolina 11/15/2021
B
Kansas 5/25/2022
B
South Dakota 5/25/2022
B
Kentucky 5/25/2022
B
Tennessee 8/9/2017
B
Louisiana 5/25/2022
B
Texas 8/9/2017
B
Maine 5/25/2022
IA
Texas 5/5/2020
B
Maryland 8/9/2017
B
Utah 5/25/2022
B
Massachusetts 8/9/2017
B
Vermont 8/11/2017
B
Michigan 8/9/2017
B
Virgin Islands 5/25/2022
B
Minnesota 2/9/2022
B
Virginia 8/9/2017
B
Mississippi 2/18/2022
B
Washington 8/9/2017
B
Missouri 2/9/2022
B
West Virginia 5/25/2022
B
Montana 2/9/2022
B
Wisconsin 5/25/2022
B
Nebraska 8/9/2017
B
Wyoming 2/9/2022
B
Nevada 8/9/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
850 Morrison Drive Suite 800, Charleston, SC 29403
Registered with this firm since 12/7/2012
B
MORGAN STANLEY (CRD#:149777)
850 Morrison Drive Suite 800, Charleston, SC 29403
Registered with this firm since 12/7/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/19/2012 - 11/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 04/19/2012 - 11/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
IA
 07/09/2009 - 04/18/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) RIDGEWOOD, NJ
B
 07/09/2009 - 04/18/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) RIDGEWOOD, NJ
IA
 07/23/2002 - 07/07/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 08/29/2000 - 07/07/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 03/18/1997 - 06/23/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 07/31/1993 - 03/06/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 05/14/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 05/21/1985 - 05/14/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.