DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Katie R Morgan
Feed of 09/14/2026
Also filed as Katie Rae Morgan
At current firm
3 y
since Dec 6, 2022
In the industry
18 y
since May 5, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Janney Montgomery Scott LLC BD affiliated currentsince Dec 6, 2022 · Charlotte, Nc
- Truist Advisory Services, Inc. BD affiliatedFeb 17, 2021 to Dec 13, 2022 · Atlanta, Ga
- Bb&T Securities, LLC formerOct 23, 2018 to Feb 17, 2021 · Greensboro, Nc
- Morgan Stanley wirehouseJan 17, 2017 to Oct 29, 2018 · Raleigh, Nc
- Bb&T Securities, LLC formerDec 22, 2014 to Dec 27, 2016 · Raleigh, Nc
- UBS Financial Services Inc. wirehouseMay 6, 2008 to Dec 22, 2014 · Wilmington, Nc
Moves
a registration end followed by a registration begin elsewhere
- Truist Advisory Services, Inc. to Janney Montgomery Scott LLCleft Dec 13, 2022, registered Dec 6, 2022 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- Bb&T Securities, LLC to Truist Advisory Services, Inc.left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- Morgan Stanley to Bb&T Securities, LLCleft Oct 29, 2018, registered Oct 23, 2018 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- Bb&T Securities, LLC to Morgan Stanleyleft Dec 27, 2016, registered Jan 17, 2017 (21 days) · Other
- UBS Financial Services Inc. to Bb&T Securities, LLCleft Dec 22, 2014, registered Dec 22, 2014 (0 days) · Other
Signals
- Katie R Morgan left Truist Advisory Services, Inc. for Janney Montgomery Scott Llc (registered 2022-12-06)Dec 13, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address