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Detailed Report
KATHLEEN C POZARYCKI
KATHLEEN C MOUNT, KATHLEEN POZARYCKI, KATHY POZARYCKI
CRD#: 1457924
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
Registration History
19901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2013 (18 years)BBROADCORT CAPITAL CORP. (CRD# 13456)1990 - 1993 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1990 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2013 (4 years)
License(s)

State Registrations

B
Alabama 3/21/2023
B
Nevada 10/23/2015
B
Arizona 11/8/2013
B
New Hampshire 11/8/2013
B
Arkansas 8/23/2019
B
New Jersey 11/8/2013
B
California 11/8/2013
B
New Mexico 7/5/2017
B
Colorado 11/8/2013
B
New York 11/8/2013
B
Connecticut 11/8/2013
IA
New York 6/16/2021
B
Delaware 7/14/2023
B
North Carolina 11/8/2013
B
District of Columbia 12/15/2016
B
Ohio 12/15/2016
B
Florida 11/8/2013
B
Oregon 11/8/2013
B
Georgia 9/14/2017
B
Pennsylvania 11/8/2013
B
Hawaii 12/10/2014
B
Rhode Island 12/10/2014
B
Illinois 11/18/2015
B
South Carolina 6/24/2021
B
Iowa 9/25/2023
B
Tennessee 6/24/2021
B
Kansas 6/24/2021
B
Texas 12/15/2016
B
Maine 4/25/2018
IA
Texas 5/18/2020
B
Maryland 11/8/2013
B
Vermont 6/24/2021
B
Massachusetts 11/8/2013
B
Virgin Islands 2/2/2024
B
Michigan 9/14/2017
B
Virginia 11/8/2013
B
Minnesota 9/14/2017
B
Washington 11/8/2013
B
Missouri 9/14/2017
B
Wisconsin 12/15/2016
B
Montana 9/14/2017
B
Wyoming 10/30/2018

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)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 5/18/2020
B
MORGAN STANLEY (CRD#:149777)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 11/8/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/23/2009 - 11/11/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GARDEN CITY, NY
B
 07/08/1995 - 11/11/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GARDEN CITY, NY
B
 12/07/1990 - 10/13/1993 BROADCORT CAPITAL CORP. (CRD#:13456) NEW YORK, NY
B
 03/19/1986 - 11/08/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.