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CATHERINE ZOSA ROMUALDEZ
CRD#: 2985669
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 5001 Spring Valley Road
Suite 900W
Dallas, TX 75244
Registration History
20062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2016 - Present (8 years)BMORGAN STANLEY (CRD# 149777)2012 - Present (12 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2011 - 2012 (<1 year)BUBS SECURITIES LLC (CRD# 7654)2007 - 2011 (4 years)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 3/17/2020

B
Mississippi 11/9/2018

B
Alaska 9/21/2012

B
Missouri 9/21/2012

B
Arizona 9/21/2012

B
Montana 5/4/2023

B
Arkansas 9/21/2012

B
Nevada 9/21/2012

B
California 9/21/2012

B
New Jersey 9/21/2012

B
Colorado 9/21/2012

B
New Mexico 3/17/2020

B
Connecticut 9/21/2012

B
New York 1/3/2013

B
Delaware 9/21/2012

B
North Carolina 9/24/2012

B
District of Columbia 9/21/2012

B
Ohio 9/21/2012

B
Florida 9/21/2012

B
Oklahoma 9/21/2012

B
Georgia 9/21/2012

B
Oregon 9/21/2012

B
Hawaii 9/21/2012

B
Pennsylvania 9/21/2012

B
Idaho 3/17/2020

B
Rhode Island 4/23/2018

B
Illinois 9/21/2012

B
South Carolina 9/21/2012

B
Iowa 9/21/2012

B
Tennessee 9/21/2012

B
Kansas 3/24/2020

B
Texas 8/31/2012

B
Kentucky 9/21/2012

IA
Texas 9/8/2016

B
Louisiana 9/21/2012

B
Virginia 9/21/2012

B
Maine 9/21/2012

B
Washington 9/21/2012

B
Maryland 9/21/2012

B
Wisconsin 3/17/2020

B
Massachusetts 9/21/2012

B
Wyoming 10/28/2022

B
Michigan 4/26/2018

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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)
5001 Spring Valley Road Suite 900W, Dallas, TX 75244
8701 Bee Caves Road Suite 300, Austin, TX 78746
Registered with this firm since 9/8/2016

B
MORGAN STANLEY (CRD#:149777)
5001 Spring Valley Road Suite 900W, Dallas, TX 75244
8701 Bee Caves Road Suite 300, Austin, TX 78746
Registered with this firm since 8/31/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/09/2011 - 04/27/2012 BARCLAYS CAPITAL INC. (CRD#:19714) DALLAS, TX
B
02/07/2007 - 04/18/2011 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
B
01/30/2006 - 06/16/2006 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
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B
Broker
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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.