Katrina G. Morozov
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.
Katrina Golda Morozov, who also goes by Katrina Morozov, was a registered financial professional .
Katrina is a previously registered financial professional and started their career in finance in 2017. Katrina had worked at 3 firms and has passed the Series 63, 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
August 11, 2021 - March 18, 2022
FAMILY MANAGE LLC
July 1, 2021 - March 18, 2022
FAMILY MANAGEMENT SECURITIES, LLC
August 11, 2017 - October 29, 2020
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
FAMILY MANAGE LLC
CRD#: 104951 / SEC#: 801-35943
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
FAMILY MANAGE LLC
CRD#: 104951 / SEC#: 801-35943
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,166 |
| AUM (Assets Under Management) | $ 4,404,570,486 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2025 | ||
| 02/20/2025 | ||
| 06/28/2023 |
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.
