Kathleen S. Lang
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.
Kathleen Saikin Lang, who also goes by Kathleen S Lang, Kathleen Ann Saikin, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 3, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2015 - August 25, 2021
MORGAN STANLEY
August 7, 2015 - August 25, 2021
MORGAN STANLEY
October 1, 2010 - August 5, 2015
GOLDMAN SACHS & CO. LLC
February 12, 2010 - September 29, 2010
CITIZENS SECURITIES, INC.
February 12, 2010 - September 29, 2010
CITIZENS SECURITIES, INC.
June 11, 2007 - June 23, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 23, 2008
CITIGROUP GLOBAL MARKETS INC.
May 26, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 14, 2004 - March 23, 2005
CITICORP INVESTMENT SERVICES
June 6, 2000 - March 23, 2005
CITICORP INVESTMENT SERVICES
January 1, 1989 - June 16, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1987 - December 6, 1988
U.S. LEAGUE SECURITIES, INC.
March 1, 1985 - November 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1984 - February 19, 1985
GRUNTAL & CO., L.L.C.
January 26, 1984 - August 14, 1984
LEHMAN BROTHERS INC.
January 25, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
