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Detailed Report
MARK ALLEN KAYE
CRD#: 4812811
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 8701 Bee Caves Road
Suite 300
Austin, TX 78746
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2020 (8 years)2 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
Alabama 9/8/2020
B
Nebraska 8/28/2020
B
Alaska 8/28/2020
B
Nevada 8/28/2020
B
Arizona 8/28/2020
B
New Hampshire 8/28/2020
B
Arkansas 8/28/2020
B
New Jersey 8/28/2020
B
California 8/28/2020
B
New Mexico 8/28/2020
B
Colorado 8/28/2020
B
New York 8/28/2020
B
Connecticut 8/28/2020
B
North Carolina 8/28/2020
B
Delaware 8/28/2020
B
North Dakota 8/28/2020
B
District of Columbia 8/28/2020
B
Ohio 8/28/2020
B
Florida 8/28/2020
B
Oklahoma 8/28/2020
B
Georgia 8/28/2020
B
Oregon 8/28/2020
B
Hawaii 8/28/2020
B
Pennsylvania 8/28/2020
B
Idaho 8/28/2020
B
Puerto Rico 8/28/2020
B
Illinois 8/28/2020
B
Rhode Island 8/28/2020
B
Indiana 8/28/2020
B
South Carolina 8/28/2020
B
Iowa 8/28/2020
B
South Dakota 8/28/2020
B
Kansas 8/28/2020
B
Tennessee 8/28/2020
B
Kentucky 8/28/2020
B
Texas 8/28/2020
B
Louisiana 8/28/2020
IA
Texas 8/28/2020
B
Maine 8/28/2020
B
Utah 8/28/2020
B
Maryland 8/28/2020
B
Vermont 8/28/2020
B
Massachusetts 8/28/2020
B
Virgin Islands 8/28/2020
B
Michigan 8/28/2020
B
Virginia 8/28/2020
B
Minnesota 8/28/2020
B
Washington 8/28/2020
B
Mississippi 8/28/2020
B
West Virginia 8/28/2020
B
Missouri 8/28/2020
B
Wisconsin 8/28/2020
B
Montana 8/28/2020
B
Wyoming 8/28/2020

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)
8701 Bee Caves Road Suite 300, Austin, TX 78746
Registered with this firm since 8/28/2020
B
MORGAN STANLEY (CRD#:149777)
8701 Bee Caves Road Suite 300, Austin, TX 78746
Registered with this firm since 8/28/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2012 - 09/08/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
 01/17/2012 - 09/08/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
IA
 01/01/2008 - 01/18/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
 01/01/2008 - 01/18/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
 12/04/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) HOUSTON, TX
IA
 12/18/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) HOUSTON, TX
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.