Katherine H. Stromberg
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.
Katherine Hawkins Stromberg, who also goes by Katherine Mary Hawkins, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1972. Katherine had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2007 - June 1, 2011
MORGAN STANLEY INVESTMENT ADVISORS INC.
December 19, 2006 - December 1, 2016
MORGAN STANLEY DISTRIBUTION, INC.
November 8, 2005 - February 1, 2007
MORGAN STANLEY DW INC.
March 23, 1992 - February 1, 2007
MORGAN STANLEY DW INC.
April 24, 1986 - January 9, 1992
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - March 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 11/6/1972
Registered Representative ExaminationCurrent firm
No current employment
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.
