Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Galgano is an active Investment Advisor Representative and Broker-Dealer Representative with over 35 years of experience in the financial services industry. Catherine has been registered with Morgan Stanley since June of 2009, and prior to that, she was registered with CITIGROUP GLOBAL MARKETS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Catherine holds Series 3, 7, 8, 9, 10, 63 and 65 licenses and is registered with the State of New York. Catherine is a highly experienced financial professional who is dedicated to providing her clients with the highest level of service and expertise.
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
NY
04/22/2016 - Present
Morgan Stanley (New York NY)
NY
01/13/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MOUNT KISCO NY)
NA
06/24/1986 - 01/14/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/28/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2000
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
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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