Kathleen Olivari
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 Olivari, who also goes by Kathleen M Flahive, Kathleen Marie Flahive, Kathleen M Olivari, Kathleen Marie Olivari, Kathy Olivari, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1985. Kathleen had worked at 15 firms and has passed the Series 63 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
September 13, 2010 - September 6, 2013
MORGAN STANLEY
June 1, 2009 - June 11, 2010
MORGAN STANLEY
September 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 12, 2008 - August 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2007 - December 4, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 29, 2002 - July 31, 2007
RYAN BECK & CO.
March 13, 2002 - May 13, 2002
GRUNTAL & CO., L.L.C.
October 1, 2000 - February 19, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 14, 1998 - March 17, 1999
MORGAN STANLEY DW INC.
June 3, 1998 - June 17, 1998
CITIGROUP GLOBAL MARKETS INC.
August 25, 1997 - January 21, 1998
DISCOUNT MUNIBROKERS
March 26, 1997 - October 22, 1997
WOODBURY FINANCIAL SERVICES, INC.
March 26, 1990 - April 20, 1995
LEGG MASON WOOD WALKER, INCORPORATED
April 13, 1989 - October 26, 1989
RYAN BECK & CO.
August 5, 1987 - April 12, 1988
NUVEEN SECURITIES, LLC
October 22, 1985 - February 26, 1986
JANNEY MONTGOMERY SCOTT LLC
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
Current 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.
