KB
Katherine G. Breen
MORGAN STANLEY DISTRIBUTION
New York, NY 10036
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CRD#: 5573506
KB
Professional summary
Katherine G Breen, who also goes by Katherine G Breen, Katie Breen, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2008. Katherine has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine G Breen | Katie Breen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Katherine G Breen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 11, 2023 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 30344
New York, NY
Past
January 15, 2022 - October 11, 2023
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
New York, NY
Past
July 30, 2013 - January 15, 2022
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
New York, NY
Past
January 2, 2013 - July 8, 2013
HEDGEMARK SECURITIES LLC
BD
CRD#: 164503
NEW YORK, NY
Past
February 22, 2010 - October 25, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - October 25, 2011
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
October 20, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/11/2023)
RR
Alaska(10/11/2023)
RR
Arizona(10/11/2023)
RR
Arkansas(10/11/2023)
RR
California(10/11/2023)
RR
Colorado(10/11/2023)
RR
Connecticut(10/11/2023)
RR
Delaware(10/11/2023)
RR
District of Columbia(10/11/2023)
RR
Florida(10/11/2023)
RR
Georgia(10/11/2023)
RR
Hawaii(10/11/2023)
RR
Idaho(10/11/2023)
RR
Illinois(10/11/2023)
RR
Indiana(10/11/2023)
RR
Iowa(10/11/2023)
RR
Kansas(10/11/2023)
RR
Kentucky(10/11/2023)
RR
Louisiana(10/11/2023)
RR
Maine(10/11/2023)
RR
Maryland(10/11/2023)
RR
Massachusetts(10/11/2023)
RR
Michigan(10/11/2023)
RR
Minnesota(10/11/2023)
RR
Mississippi(10/11/2023)
RR
Missouri(10/11/2023)
RR
Montana(10/11/2023)
RR
Nebraska(10/11/2023)
RR
Nevada(10/11/2023)
RR
New Hampshire(10/11/2023)
RR
New Jersey(10/11/2023)
RR
New Mexico(10/11/2023)
RR
New York(10/11/2023)
RR
North Carolina(10/11/2023)
RR
North Dakota(10/11/2023)
RR
Ohio(10/11/2023)
RR
Oklahoma(10/11/2023)
RR
Oregon(10/11/2023)
RR
Pennsylvania(10/11/2023)
RR
Puerto Rico(10/11/2023)
RR
Rhode Island(10/11/2023)
RR
South Carolina(10/11/2023)
RR
South Dakota(10/11/2023)
RR
Tennessee(10/11/2023)
RR
Texas(10/11/2023)
RR
Utah(10/11/2023)
RR
Vermont(10/11/2023)
RR
Virginia(10/11/2023)
RR
Washington(10/11/2023)
RR
West Virginia(10/11/2023)
RR
Wisconsin(10/11/2023)
RR
Wyoming(10/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MORGAN STANLEY DISTRIBUTION, INC.
MAS FUND DISTRIBUTION, INC. | MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 296-7860
Established
Pennsylvania since 02/28/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| 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 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| 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.
