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KATHY LYNN WHITLEY
KATHY LYNN GORBY, KATHLEEN LYNN WHITLEY
CRD#: 1864066
IA
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MORGAN STANLEYCRD#: 149777 1200 Third Avenue
Suite 100
Huntington, WV 25701
Suite 100
Huntington, WV 25701
0
Disclosures
34
Years of Experience
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State Registrations
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Alabama 11/2/2015
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New York 11/2/2015
B
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
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Ohio 2/1/2022
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 2/3/2021
B
South Carolina 11/2/2015
B
Indiana 11/2/2015
B
Tennessee 11/2/2015
B
Kansas 11/2/2015
B
Texas 6/1/2009
B
Kentucky 6/1/2009
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Texas 4/23/2020
B
Maryland 11/2/2015
B
Vermont 3/23/2023
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Michigan 6/1/2009
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Virginia 6/1/2009
B
Missouri 11/2/2015
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West Virginia 6/1/2009
B
Nebraska 10/19/2023
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West Virginia 6/1/2009
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Nevada 4/17/2014
B
Wisconsin 8/15/2013
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/12/2004 - 06/01/2009 | HUNTINGTON, WV | |
B | 07/06/1995 - 06/01/2009 | HUNTINGTON, WV | |
B | 09/09/1993 - 06/15/1995 | CHICAGO, IL | |
B | 12/06/1990 - 08/19/1993 | NEW YORK, NY |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.