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Detailed Report
KATRINA Valerie MONTALVO
KAT SAMANIEGO, Katrina Valerie Samaniego
CRD#: 5226434
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1585 Broadway
21St Floor
New York, NY 10036
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2017 (3 years)2 FIRMS2017 - Present (7 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 4/25/2017
B
Nevada 4/25/2017
B
Alaska 4/25/2017
B
New Hampshire 4/25/2017
B
Arizona 4/25/2017
B
New Jersey 4/25/2017
B
Arkansas 4/25/2017
IA
New Jersey 4/25/2017
B
California 4/25/2017
B
New Mexico 4/25/2017
B
Colorado 4/25/2017
B
New York 4/25/2017
B
Connecticut 4/25/2017
IA
New York 6/16/2021
B
Delaware 4/25/2017
B
North Carolina 4/26/2017
B
District of Columbia 4/25/2017
B
North Dakota 4/25/2017
B
Florida 4/25/2017
B
Ohio 4/25/2017
B
Georgia 4/25/2017
B
Oklahoma 4/25/2017
B
Hawaii 4/25/2017
B
Oregon 4/25/2017
B
Idaho 4/25/2017
B
Pennsylvania 4/25/2017
B
Illinois 4/25/2017
B
Puerto Rico 4/25/2017
B
Indiana 4/25/2017
B
Rhode Island 4/25/2017
B
Iowa 4/25/2017
B
South Carolina 4/25/2017
B
Kansas 4/25/2017
B
South Dakota 4/25/2017
B
Kentucky 4/25/2017
B
Tennessee 4/25/2017
B
Louisiana 4/25/2017
B
Texas 4/25/2017
B
Maine 4/25/2017
IA
Texas 4/26/2017
B
Maryland 4/25/2017
B
Utah 4/25/2017
B
Massachusetts 4/25/2017
B
Vermont 4/25/2017
B
Michigan 4/25/2017
B
Virgin Islands 4/25/2017
B
Minnesota 4/25/2017
B
Virginia 4/25/2017
B
Mississippi 4/25/2017
B
Washington 4/25/2017
B
Missouri 4/25/2017
B
West Virginia 4/25/2017
B
Montana 4/25/2017
B
Wisconsin 4/25/2017
B
Nebraska 4/25/2017
B
Wyoming 4/25/2017

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)
1585 Broadway 21St Floor, New York, NY 10036
Somerville, NJ
Registered with this firm since 4/25/2017
B
MORGAN STANLEY (CRD#:149777)
1585 Broadway 21St Floor, New York, NY 10036
Somerville, NJ
Registered with this firm since 4/25/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/30/2013 - 04/17/2017 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) MORRISTOWN, NJ
B
 10/30/2013 - 04/17/2017 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) MORRISTOWN, NJ
IA
 06/01/2009 - 10/29/2013 MORGAN STANLEY (CRD#:149777) WARREN, NJ
B
 06/01/2009 - 10/29/2013 MORGAN STANLEY (CRD#:149777) WARREN, NJ
IA
 11/13/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MORRISTOWN, NJ
B
 12/05/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MORRISTOWN, NJ
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.