Kimberly A. Halkett
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.
Kimberly Ann Halkett, who also goes by Kimberly Ann Ryburn, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1996. Kimberly had worked at 15 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2022 - December 13, 2023
MORGAN STANLEY
January 31, 2020 - April 28, 2022
E*TRADE SECURITIES LLC
January 6, 2017 - March 11, 2019
ACQUIOM FINANCIAL LLC
March 4, 2016 - January 6, 2017
LPL FINANCIAL LLC
March 4, 2016 - January 6, 2017
LPL FINANCIAL LLC
April 17, 2014 - August 15, 2014
CURIAN CAPITAL, LLC
April 15, 2014 - August 15, 2014
CURIAN CLEARING, LLC
March 14, 2013 - April 16, 2014
J.P. MORGAN SECURITIES LLC
March 14, 2013 - April 16, 2014
J.P. MORGAN SECURITIES LLC
December 12, 2007 - January 2, 2013
GENEOS WEALTH MANAGEMENT, INC.
August 15, 2003 - January 2, 2013
GENEOS WEALTH MANAGEMENT, INC.
April 29, 2003 - August 20, 2003
UNITED SECURITIES ALLIANCE, INC.
January 2, 2003 - May 8, 2003
VESTAX SECURITIES CORPORATION
January 2, 2003 - May 8, 2003
IFG NETWORK SECURITIES, INC.
April 22, 2002 - May 8, 2003
CETERA ADVISORS LLC
May 19, 2000 - April 16, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 22, 1999 - May 19, 2000
CETERA ADVISORS LLC
September 12, 1996 - June 1, 1999
AMERICAN FRONTEER FINANCIAL CORPORATION
January 22, 1996 - September 13, 1996
FOUNDERS ASSET MANAGEMENT, INC.
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.
