Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine A. Cole is a financial advisor registered with Morgan Stanley in Beverly Hills, California. Catherine has been in the industry since 1995 and has experience with Morgan Stanley and Citigroup Global Markets Inc. Catherine holds Series 63, 65, 7, and SIE licenses, is registered in 23 states, and works with clients of all types. Catherine helps her clients with a variety of financial needs including financial planning, asset allocation advice, and portfolio management.
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
06/16/2021 - Present
Morgan Stanley (Beverly Hills CA)
CA
07/19/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
IA
Issued 02/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Catherine Cole is the right advisor for you? Invested Better is here to help.
