Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Katz is a financial advisor with over 30 years of experience in the industry. Alice is currently registered with Morgan Stanley and is licensed to provide investment advice and securities services in multiple states. Prior to joining Morgan Stanley, Alice has held positions at Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc. Alice specializes in portfolio management and financial planning for a range of clients including individuals, families, and businesses. She is committed to helping clients achieve their financial goals and objectives. Alice holds the Series 7, Series 63 and Series 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/04/2022 - Present
Morgan Stanley (Los Angeles CA)
CA
08/30/2017 - 01/18/2022
WELLS FARGO CLEARING SERVICES, LLC (LOS ANGELES CA)
CA
06/01/2009 - 08/31/2017
MORGAN STANLEY (LOS ANGELES CA)
CA
04/27/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
MO
06/28/2002 - 04/19/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
04/29/2002 - 07/26/2002
RYAN, BECK & CO., LLC. (FLORHAM PARK NJ)
NY
10/10/2001 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
MA
07/21/1998 - 01/31/2000
BEL AIR SECURITIES LLC (BOSTON MA)
NY
01/16/1998 - 07/01/1998
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MO
03/13/1991 - 02/01/1996
EVEREN SECURITIES, INC. (ST. LOUIS MO)
MO
09/04/1990 - 02/19/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
02/17/1989 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
04/19/1988 - 02/27/1989
H.J. MEYERS & CO., INC.
NA
05/30/1986 - 03/17/1988
MORGAN STANLEY & CO., INCORPORATED
NA
10/23/1985 - 05/28/1986
MORGAN, OLMSTEAD, KENNEDY & GARDNER, INCORPORATED
IA
Issued 08/27/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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