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Detailed Report
Kathryn N Miller
NICOLE MILLER, Kathryn Nicole Miller
CRD#: 6550323
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 233 South Wacker Drive
Suite 8600
Chicago, IL 60606
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 7/21/2021
B
Montana 7/21/2021
B
Alaska 7/21/2021
B
Nebraska 7/21/2021
B
Arizona 7/20/2021
B
Nevada 7/21/2021
B
Arkansas 7/21/2021
B
New Hampshire 7/21/2021
B
California 7/13/2021
B
New Jersey 7/21/2021
IA
California 7/14/2021
B
New Mexico 7/21/2021
B
Colorado 7/20/2021
B
New York 7/21/2021
B
Connecticut 7/20/2021
B
North Carolina 7/21/2021
B
Delaware 7/21/2021
B
North Dakota 7/21/2021
B
District of Columbia 7/21/2021
B
Ohio 7/22/2021
B
Florida 7/20/2021
B
Oklahoma 7/21/2021
B
Georgia 7/20/2021
B
Oregon 7/21/2021
B
Hawaii 7/21/2021
B
Pennsylvania 7/21/2021
B
Idaho 7/21/2021
B
Puerto Rico 7/21/2021
B
Illinois 7/21/2021
B
Rhode Island 7/21/2021
IA
Illinois 11/13/2024
B
South Carolina 7/21/2021
B
Indiana 7/21/2021
B
South Dakota 7/21/2021
B
Iowa 7/21/2021
B
Tennessee 7/21/2021
B
Kansas 7/21/2021
B
Texas 7/21/2021
B
Kentucky 7/21/2021
IA
Texas 7/30/2021
B
Louisiana 7/21/2021
B
Utah 7/21/2021
B
Maine 7/21/2021
B
Vermont 7/21/2021
B
Maryland 7/21/2021
B
Virgin Islands 7/21/2021
B
Massachusetts 7/21/2021
B
Virginia 7/21/2021
B
Michigan 7/21/2021
B
Washington 7/21/2021
B
Minnesota 7/21/2021
B
West Virginia 7/21/2021
B
Mississippi 7/21/2021
B
Wisconsin 7/21/2021
B
Missouri 7/21/2021
B
Wyoming 7/21/2021

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)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 7/14/2021
B
MORGAN STANLEY (CRD#:149777)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 7/13/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/29/2017 - 05/04/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOUISVILLE, KY
B
 09/29/2017 - 05/04/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) LOUISVILLE, KY
IA
 11/22/2016 - 08/25/2017 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
B
 04/18/2016 - 08/25/2017 MORGAN STANLEY (CRD#:149777) CHICAGO, IL
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.