Kathy D. Bolton
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.
Kathy Dianne Bolton, who also goes by Kathy Dianne Hartgrove, Kathy Dianne Shuler, Kathy Diane Skeens, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1998. Kathy had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2023 - January 3, 2024
MORGAN STANLEY
February 13, 2019 - April 4, 2023
AFS SECURITIES, LLC
July 21, 2016 - January 10, 2019
AON SECURITIES LLC
June 10, 2014 - June 8, 2016
M HOLDINGS SECURITIES, INC.
February 28, 2011 - May 2, 2014
NEWPORT GROUP SECURITIES, INC.
February 17, 2009 - February 3, 2011
CLARK SECURITIES, INC.
February 2, 2005 - October 1, 2008
KESTRA INVESTMENT SERVICES, LLC
December 16, 2002 - January 7, 2005
AON SECURITIES LLC
October 8, 2001 - October 16, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 4, 2000 - May 25, 2000
AON SECURITIES LLC
August 14, 1998 - December 20, 1999
WESTPORT FINANCIAL SERVICES, L.L.C.
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.
