Kailing Cai
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.
Kailing Cai was a registered financial professional .
Kailing is a previously registered financial professional and started their career in finance in 2013. Kailing had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - August 22, 2016
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
September 30, 2015 - August 22, 2016
MORGAN STANLEY DISTRIBUTION, INC.
July 25, 2013 - January 28, 2016
MORGAN STANLEY
June 11, 2013 - January 28, 2016
MORGAN STANLEY
Primary Firm SEC Registration
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
CRD#: 110353 / SEC#: 801-15757
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 INVESTMENT MANAGEMENT INC.
CRD#: 110353 / SEC#: 801-15757
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,920 |
| AUM (Assets Under Management) | $ 619,196,027,920 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/24/2025 | ||
| 10/24/2023 | ||
| 01/26/2023 |
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.
