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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 Jeanette Rachford is a financial advisor at Morgan Stanley. Catherine has been in the financial services industry since August 7, 2000. She is registered with the Financial Industry Regulatory Authority (FINRA) and is a member of the Securities Investor Protection Corporation (SIPC). Catherine holds a Series 7 General Securities Representative, Series 63 Uniform Securities Agent State Law Examination, Series 66 Uniform Combined State Law Examination, and SIE Securities Industry Essentials Examination. Catherine has a current registration with Morgan Stanley as a registered representative in California and Texas. Catherine has previous registrations with UBS Financial Services Inc., and Banc of America Securities LLC.
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
06/01/2009 - Present
Morgan Stanley (San Francisco CA)
CA
04/21/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
07/26/2002 - 05/05/2009
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
08/08/2000 - 07/26/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 11/15/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/07/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2000
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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