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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Eleanor Klase is a financial advisor with Morgan Stanley, located in Philadelphia, PA. Catherine has been in the industry since 2005. Catherine has worked for several financial services firms, including UBS Financial Services Inc. and Morgan Stanley Smith Barney. Catherine is registered with both FINRA and the state of Pennsylvania and holds several securities licenses, including Series 3, 7, 9, 10, 63 and 66. Catherine is a specialist in investment advice and portfolio management. Catherine specializes in providing financial planning, portfolio management and pension consulting services to individuals, businesses, investment companies, insurance companies, charitable organizations, and state or municipal government entities.
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
PA
09/14/2018 - Present
Morgan Stanley (Philadelphia PA)
NJ
04/28/2016 - 03/27/2018
UBS FINANCIAL SERVICES INC. (MT. LAUREL NJ)
DC
11/02/2011 - 07/21/2014
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
06/01/2009 - 11/07/2011
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
DC
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
06/02/2006 - 04/02/2007
MORGAN STANLEY DW INC. (WASHINGTON DC)
IL
09/07/2001 - 09/28/2004
COMPUTERSHARE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 05/01/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/15/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2006
Series 3 - National Commodity Futures Examination
BC
Issued 09/06/2001
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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