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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Erica T Kainuma

Advisor at MORGAN STANLEY

State College, PA

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Search this name across graphsid dfx:ria:68afa8f9-586f-d2a1-454e-80996771260d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2017 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: MORGAN STANLEY
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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Sep 22, 2016
First registration: Dec 19, 2017
Dual registered: yes, broker-dealer
Other names: Erica Tamie Kainuma
IAPD individual key: 6667952

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
MORGAN STANLEY	Wirehouse	Sep 30, 2025	n/a	yes	State College, PA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 9, 2019	May 1, 2023	no	Greensboro, NC\|GREENSBORO, NC\|WINSTON-SALEM, NC	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 9, 2019	Oct 14, 2022	no	Greensboro, NC\|WINSTON-SALEM, NC	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Dec 19, 2017	Jan 2, 2019	no	TAMPA, FL	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	MORGAN STANLEY	May 1, 2023	Sep 30, 2025	883	Firm change after gap	RIA to wirehouse
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Oct 9, 2019	-1,101	Bulk transfer	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	TD AMERITRADE, INC.	Jan 2, 2019	Oct 9, 2019	280	Firm change	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 30, 2025 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 9, 2019 to May 1, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 9, 2019 to Oct 14, 2022factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Dec 19, 2017 to Jan 2, 2019factForm ADV

Dated events

Occurred
May 1, 2023
Advisor changed firm
Erica T Kainuma left Td Ameritrade Investment Management, Llc for Morgan Stanley (registered 2025-09-30)
Form ADVobserved 6 days ago