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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

KATHERINE SHARON FESTA

Advisor at J.P. MORGAN SECURITIES LLC

Paramus, NJ | Columbus, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 22, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S65|S63
First exam: Jan 22, 1998
First registration: Jun 5, 2002
Dual registered: yes, broker-dealer
Other names: KATHERINE SHARON LIM|Katherine Festa
IAPD individual key: 2800812

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 18, 2018	n/a	yes	Paramus, NJ\|Columbus, OH	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 16, 2018	no	Paramus, NJ\|PARAMUS, NJ\|SHORT HILLS, NJ\|New York, NY\|Morristown, NJ\|Short Hills, NJ\|Paramus, NJ\|Paramus, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	PARAMUS, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 20, 2005	Apr 2, 2007	no	PARAMUS, NJ\|PURCHASE, NY\|PURCHASE, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 7, 2004	Apr 28, 2005	no	WEEHAWKEN, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 5, 2002	Aug 23, 2004	no	WHITE PLAINS, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Oct 16, 2018	Oct 18, 2018	2	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Apr 28, 2005	Apr 20, 2005	-8	Firm change	Other
MORGAN STANLEY DW INC.	UBS FINANCIAL SERVICES INC.	Aug 23, 2004	Sep 7, 2004	15	Firm change	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 18, 2018 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 16, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 20, 2005 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 7, 2004 to Apr 28, 2005factForm ADV

Dated events

No dated event names this entity yet.