Kathryn A. Crichton
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.
Kathryn Ann Crichton, who also goes by Kathy Ann Crichton, Kathy Crichton, Kathryn Ann Diehl, Kathy Diehl, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1984. Kathryn had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2010 - August 1, 2025
MORGAN STANLEY
September 30, 2010 - August 1, 2025
MORGAN STANLEY
February 19, 2008 - August 2, 2010
DEUTSCHE BANK SECURITIES INC.
October 4, 2007 - August 2, 2010
DEUTSCHE BANK SECURITIES INC.
January 13, 2004 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
September 13, 1994 - January 23, 2004
J.P. MORGAN SECURITIES LLC
March 2, 1992 - December 31, 1992
CULLUM & SANDOW SECURITIES, INC.
October 11, 1988 - September 4, 1991
RAUSCHER PIERCE REFSNES, INC.
July 15, 1988 - September 4, 1991
RAUSCHER PIERCE REFSNES, INC.
December 19, 1984 - January 18, 1988
PRUDENTIAL EQUITY GROUP, 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.
