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KT

Kenneth A. Topping

MORGAN STANLEY DISTRIBUTION
Boston, MA 02109
Some features on this profile are disabled
CRD#: 5902876
KT

Professional summary

Kenneth Andrew Topping, who also goes by Ken Topping, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in Boston, Massachusetts.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2011. Kenneth has worked at 2 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Topping

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Andrew Topping'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®
None

Experience

Current

December 2, 2020 - Present

MORGAN STANLEY DISTRIBUTION, INC.

Office #1: 1 Post Office Square, Boston, MA 02109Office #2: 1585 Broadway, New York, NY 10036
BD
CRD#: 30344
Boston, MA
Past

June 15, 2011 - October 27, 2020

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/2012
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY INVESTMENT MANAGEMENT INC.OWNER
FAHEY, LAWRENCE LOUISPRINCIPAL OPERATIONS OFFICER2097212
KASETA, LYNN MCHIEF COMPLIANCE OFFICER6451373
KUSH, ANTHONY NPRINCIPAL FINANCIAL OFFICER AND FINOP7463692
MCMULLEN, FREDERICK ALLENDIRECTOR AND TEXAS DESIGNATED PRINCIPAL2537409
SCHOEN, SAMANTHA JANEDIRECTOR7006907
WITKOS, MATTHEW JOSEPHPRESIDENT AND DIRECTOR2034689

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.

Company Information

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344Boston, MA 02109

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