Toula Kavouklis
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.
Toula Kavouklis, who also goes by Sevastoula Kavouklis, was a registered financial professional .
Toula is a previously registered financial professional and started their career in finance in 1998. Toula had worked at 8 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - March 2, 2022
MORGAN STANLEY DISTRIBUTION, INC.
July 26, 2011 - April 16, 2014
ITAU BBA USA SECURITIES, INC.
October 6, 2005 - July 13, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
October 15, 2003 - September 15, 2005
DEAM INVESTOR SERVICES, INC.
May 22, 2000 - October 3, 2003
FRED ALGER & COMPANY, LLC
January 7, 2000 - July 18, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1999 - May 8, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 27, 1998 - May 8, 2000
PRUCO SECURITIES, LLC.
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 DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| CORSO, JEFFREY | DIRECTOR | 3113988 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| RANDALL, RONALD ALLAN | PRINCIPAL OPERATIONS OFFICER | 2946509 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
