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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Keighley J Spott

Advisor at MORGAN STANLEY

Wayzata, MN

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Search this name across graphsid dfx:ria:d1563fd2-68e7-5f23-7d74-9981de2de6fe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2007 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: Jul 27, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 27, 2007
First registration: Aug 2, 2007
Dual registered: yes, broker-dealer
Other names: KEIGHLEY JEAN PONTHAN|KEIGHLEY JEAN SPOTT
IAPD individual key: 5173736

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 3, 2021	n/a	yes	Wayzata, MN	Current employment
STILES FINANCIAL SERVICES, INC.	Independent wealth	Jan 3, 2018	Aug 7, 2021	no	EDINA, MN	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 2, 2018	Dec 5, 2019	no	Edina, MN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 11, 2013	Sep 15, 2017	no	EDEN PRAIRIE, MN\|WEST ST. PAUL, MN\|EAGAN, MN\|EDEN PRAIRIE, MN\|PLYMOUTH, MN\|WAYZATA, MN	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 2, 2013	no	Minneapolis, MN	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Aug 2, 2007	Jun 1, 2009	no	MINNEAPOLIS, MN	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
STILES FINANCIAL SERVICES, INC.	MORGAN STANLEY	Aug 7, 2021	Sep 3, 2021	27	Firm change	RIA to wirehouse
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	STILES FINANCIAL SERVICES, INC.	Dec 5, 2019	Jan 3, 2018	-701	Firm change after gap	Other
LPL FINANCIAL LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 15, 2017	Jan 2, 2018	109	Firm change	Other
MORGAN STANLEY	LPL FINANCIAL LLC	Dec 2, 2013	Dec 11, 2013	9	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 2, 2013factForm ADV
→ STILES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 3, 2018 to Aug 7, 2021factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2018 to Dec 5, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 11, 2013 to Sep 15, 2017factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Aug 2, 2007 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.