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Detailed Report
Katherine E Dean
KATHERINE ELIZABETH DEAN, Kate Dean
CRD#: 6010395
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Mentor, OH
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BVALMARK SECURITIES, INC. (CRD# 31243)2015 - 2016 (<1 year)
License(s)

State Registrations

B
Ohio 7/28/2021
IA
Ohio 7/28/2021

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)
Mentor, OH
Registered with this firm since 7/28/2021
B
MORGAN STANLEY (CRD#:149777)
Mentor, OH
Registered with this firm since 7/28/2021
Previous Registration(s)
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IA
 07/19/2016 - 07/19/2021 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
 05/04/2016 - 07/19/2021 PNC INVESTMENTS (CRD#:129052) CLEVELAND, OH
B
 10/20/2015 - 04/22/2016 VALMARK SECURITIES, INC. (CRD#:31243) CONCORD, OH
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.