Kathy J. Morss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Jane Morss, who also goes by Kathy Jane Keljik, Kathy Keljik, Kathy Jane Keljik Morss, Kathy-jane Keljik Morss, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1983. Kathy had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 1995 - September 23, 2019
CANTELLA & CO., INC.
July 25, 1995 - September 14, 1995
COMMONWEALTH FINANCIAL NETWORK
March 6, 1991 - January 17, 1995
A. G. EDWARDS & SONS, INC.
March 10, 1988 - February 27, 1991
MORGAN STANLEY DW INC.
February 15, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
July 21, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
