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.

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

Oct 4, 2007earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S65|S63

First exam

Oct 4, 2007

First registration

May 5, 2010

Dual registered

yes, broker-dealer

Other names

KATIE LOUISE SMITH|KATHLEEN LOUISE SMITH|KATIE THOMPSON|KATHLEEN LOUISE SMITH

IAPD individual key

5409330

• Occurred

  Nov 14, 2022
  Advisor changed firm

  Kathleen Louise Thompson left Davenport & Company Llc for Morgan Stanley (registered 2022-12-06)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ac17e3cd-489c-47ab-bfab-325ac23e95dc

First observed

May 5, 2010

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.