Kathleen Cummins is a registered investment advisor at Morgan Stanley, based in Gig Harbor, WA, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
2727 Hollycroft Street, Suite 330, Gig Harbor, WA, 98335
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
Citigroup Global Markets INC.
September 1987 - June 2009 · 21 yrs 9 mos
E. F. Hutton & Company INCBroker
May 1985 - February 1988 · 2 yrs 9 mos
Oppenheimer & CO., INC.Broker
April 1984 - March 1985 · 11 mos
Wedbush, Noble, Cooke, INCBroker
December 1983 - April 1984 · 4 mos
State Registrations29 states
AZCACOFLGAHIIDILINMAMDMEMIMNMTNCNJNVNYOHORPARISCTXUTVAWAWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.