Kathleen Chiappone
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.
Kathleen Chiappone, who also goes by Kathleen Bertulli, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1981. Kathleen had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2013 - July 21, 2021
MORGAN STANLEY
April 5, 2013 - July 21, 2021
MORGAN STANLEY
January 1, 2008 - April 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 6, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 11, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 14, 1997 - February 8, 2002
NEWEDGE USA, LLC
September 16, 1994 - December 22, 1995
FALCONWOOD SECURITIES CORPORATION
January 4, 1991 - June 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1987 - January 14, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1985 - March 2, 1987
MORGAN STANLEY DW INC.
May 19, 1983 - April 8, 1985
CRALIN & CO., INC.
June 3, 1982 - June 1, 1983
MORGAN STANLEY DW INC.
January 31, 1982 - June 5, 1982
LEHMAN BROTHERS INC.
February 23, 1981 - November 6, 1981
THOMSON MCKINNON SECURITIES INC.
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 | 115 |
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.
