Kari A. Kemnitz
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.
Kari Ann Kemnitz, who also goes by Kari Ann Kemnitz Soens, Kari A Rosencrantz, Kari Ann Rosencrantz, Kari Ann Soens, Kari Ann Zwilling, was a registered financial professional .
Kari is a previously registered financial professional and started their career in finance in 1986. Kari had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - July 27, 2026
MORGAN STANLEY
November 17, 2015 - July 27, 2026
MORGAN STANLEY
July 10, 2015 - October 2, 2015
CARTER, TERRY & COMPANY, INC.
November 29, 2006 - October 2, 2015
CARTER, TERRY & COMPANY, INC.
June 24, 2003 - December 5, 2006
JANNEY MONTGOMERY SCOTT LLC
June 15, 2002 - May 29, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1997 - June 15, 2002
WACHOVIA SECURITIES, INC.
June 29, 1994 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 21, 1988 - July 14, 1992
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1988 - September 20, 1988
IDS LIFE INSURANCE COMPANY
May 12, 1988 - September 20, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 1987 - November 13, 1987
NORWEST BROKERAGE SERVICES, INC.
March 26, 1986 - October 7, 1987
DAIN RAUSCHER 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 | 116 |
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.
