Kathryn Somma
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 Somma was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1985. Kathryn had worked at 12 firms and has passed the Series 66, Series 63, SIE 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
August 27, 2019 - June 8, 2020
MORGAN STANLEY
August 27, 2019 - June 8, 2020
MORGAN STANLEY
February 1, 2019 - August 2, 2019
OPPENHEIMER & CO. INC.
February 1, 2019 - August 2, 2019
OPPENHEIMER & CO. INC.
March 8, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 20, 2008 - March 8, 2018
SCOTTRADE, INC.
October 9, 2007 - May 12, 2008
MORGAN STANLEY & CO. LLC
August 28, 2006 - October 5, 2007
RBC CAPITAL MARKETS, LLC
August 9, 2006 - August 29, 2006
CITIGROUP GLOBAL MARKETS INC.
June 11, 1999 - October 3, 2005
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
October 6, 1998 - May 25, 1999
A. G. EDWARDS & SONS, INC.
August 12, 1996 - August 24, 1998
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
February 14, 1991 - July 31, 1996
A. G. EDWARDS & SONS, INC.
October 30, 1990 - February 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1989 - July 19, 1990
PRUDENTIAL EQUITY GROUP, LLC
November 16, 1988 - August 14, 1989
AEROSTAR SECURITIES CORPORATION
October 27, 1987 - November 16, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1985 - August 18, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
