Harvey Katz
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.
Harvey Katz was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1970. Harvey had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 41, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2010 - September 22, 2023
MORGAN STANLEY
July 1, 2010 - September 22, 2023
MORGAN STANLEY
April 17, 2002 - July 20, 2010
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 20, 2010
RBC CAPITAL MARKETS, LLC
March 22, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
May 25, 1988 - March 2, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 1987 - May 24, 1988
EVANS & CO., INC.
June 14, 1983 - November 17, 1986
LADENBURG THALMANN & CO. INC.
November 15, 1974 - June 8, 1983
ADVEST, INC.
February 17, 1970 - May 23, 1980
THOMSON MCKINNON SECURITIES 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 5/28/1981
NYSE Allied Member ExaminationSeries 1
Date: 9/13/1962
Registered Representative ExaminationSeries 40
Date: 5/24/1968
Registered Principal ExaminationSeries 12
Date: 3/29/1965
NYSE Branch Manager ExaminationCurrent 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.
