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Detailed Report
Kathy Lynn Noll
KATHY LYNN MLEZIVA, KATHY LYNN NELL
CRD#: 3063547
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 111 North Washington Street
Suite 410
Green Bay, WI 54301
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (7 years)BBMO HARRIS FINANCIAL ADVISORS,... (CRD# 137115)2012 - 2017 (4 years)BM&I FINANCIAL ADVISORS, INC (CRD# 16517)1998 - 2012 (14 years)IABMO HARRIS FINANCIAL ADVISORS, INC (CRD# 137115)2014 - 2017 (2 years)
License(s)

State Registrations

B
Alabama 3/28/2018
B
Montana 1/7/2021
B
Alaska 4/19/2022
B
Nebraska 3/28/2018
B
Arizona 3/28/2018
B
Nevada 1/10/2019
B
Arkansas 1/10/2019
B
New Hampshire 4/19/2022
B
California 3/28/2018
B
New Jersey 1/10/2019
B
Colorado 1/10/2019
B
New Mexico 1/7/2021
B
Connecticut 3/28/2018
B
New York 1/10/2019
B
Delaware 3/28/2018
B
North Carolina 3/29/2018
B
District of Columbia 1/10/2019
B
Ohio 1/11/2019
B
Florida 3/28/2018
B
Oklahoma 4/19/2022
B
Georgia 3/28/2018
B
Oregon 1/10/2020
B
Hawaii 1/10/2019
B
Pennsylvania 3/28/2018
B
Illinois 3/28/2018
B
South Carolina 3/28/2018
B
Indiana 3/28/2018
B
South Dakota 1/10/2019
B
Iowa 1/10/2019
B
Tennessee 1/10/2019
B
Kentucky 1/7/2021
B
Texas 3/28/2018
B
Louisiana 11/11/2024
IA
Texas 4/2/2020
B
Maine 1/10/2019
B
Utah 1/10/2019
B
Maryland 3/28/2018
B
Virginia 3/28/2018
B
Massachusetts 1/10/2020
B
Washington 3/28/2018
B
Michigan 3/28/2018
B
Wisconsin 3/21/2018
B
Minnesota 3/28/2018
IA
Wisconsin 3/21/2018
B
Missouri 3/28/2018
B
Wyoming 4/19/2022

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)
111 North Washington Street Suite 410, Green Bay, WI 54301
Registered with this firm since 3/21/2018
B
MORGAN STANLEY (CRD#:149777)
111 North Washington Street Suite 410, Green Bay, WI 54301
Registered with this firm since 3/21/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/27/2017 - 02/16/2018 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) GREEN BAY, WI
B
 02/27/2017 - 02/16/2018 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) GREEN BAY, WI
IA
 09/08/2014 - 02/27/2017 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) MANITOWOC, WI
B
 08/01/2012 - 02/27/2017 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) MANITOWOC, WI
B
 06/19/1998 - 08/01/2012 M&I FINANCIAL ADVISORS, INC (CRD#:16517) GREEN BAY, WI
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.