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Detailed Report
KENNETH G KOZIAK
KEN KOZIAK
CRD#: 5490592
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1999 Avenue Of The Stars
Suite 2400
Los Angeles, CA 90067
Registration History
20082010201220142016201820202022202420262 FIRMS2013 - 2018 (5 years)2 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY (CRD# 149777)2009 - 2013 (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)IAMORGAN STANLEY (CRD# 149777)2011 - 2012 (1 year)
License(s)

State Registrations

B
Alabama 4/5/2023
B
Nebraska 4/5/2023
B
Alaska 4/5/2023
B
Nevada 4/5/2023
B
Arizona 4/5/2023
B
New Hampshire 4/5/2023
B
Arkansas 4/5/2023
B
New Jersey 4/5/2023
B
California 4/5/2023
B
New Mexico 4/5/2023
IA
California 4/6/2023
B
New York 4/5/2023
B
Colorado 4/5/2023
B
North Carolina 4/5/2023
B
Connecticut 4/5/2023
B
North Dakota 4/5/2023
B
Delaware 4/5/2023
B
Ohio 4/5/2023
B
District of Columbia 4/5/2023
B
Oklahoma 4/5/2023
B
Florida 4/5/2023
B
Oregon 4/5/2023
B
Georgia 4/5/2023
B
Pennsylvania 4/5/2023
B
Hawaii 4/5/2023
B
Puerto Rico 4/5/2023
B
Idaho 4/5/2023
B
Rhode Island 4/5/2023
B
Illinois 4/5/2023
B
South Carolina 4/5/2023
B
Indiana 4/5/2023
B
South Dakota 4/5/2023
B
Iowa 4/5/2023
B
Tennessee 4/5/2023
B
Kansas 4/5/2023
B
Texas 4/5/2023
B
Kentucky 4/5/2023
IA
Texas 4/6/2023
B
Louisiana 4/5/2023
B
Utah 4/5/2023
B
Maine 4/5/2023
B
Vermont 4/5/2023
B
Maryland 4/5/2023
B
Virgin Islands 4/5/2023
B
Massachusetts 4/5/2023
B
Virginia 4/5/2023
B
Michigan 4/5/2023
B
Washington 4/5/2023
B
Minnesota 4/5/2023
B
West Virginia 4/5/2023
B
Mississippi 4/5/2023
B
Wisconsin 4/5/2023
B
Missouri 4/5/2023
B
Wyoming 4/5/2023
B
Montana 4/5/2023

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)
1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067
Registered with this firm since 4/6/2023
B
MORGAN STANLEY (CRD#:149777)
1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067
Registered with this firm since 4/5/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/21/2018 - 05/02/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) Los Angeles, CA
B
 09/21/2018 - 05/02/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) LOS ANGELES, CA
IA
 08/23/2013 - 10/02/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
B
 08/23/2013 - 10/02/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOS ANGELES, CA
B
 06/01/2009 - 08/21/2013 MORGAN STANLEY (CRD#:149777) BALTIMORE, MD
IA
 04/29/2011 - 10/03/2012 MORGAN STANLEY (CRD#:149777) BALTIMORE, MD
B
 06/12/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PIKESVILLE, MD
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.