Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Veloni is a financial advisor with Purshe Kaplan Sterling Investments in Newport Beach, CA. Catherine has been in the industry since 2005 and holds Series 7, 9, 10, 63, and 66 licenses. Catherine has previous experience with firms such as Morgan Stanley, Morgan Stanley & Co. Incorporated, A. G. Edwards & Sons, Inc., and Morgan Stanley DW Inc. Catherine is registered in California.
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.
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.
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2
CA
05/16/2018 - Present
Purshe Kaplan Sterling Investments (Newport Beach CA)
CA
06/01/2009 - 09/07/2017
MORGAN STANLEY (NEWPORT BEACH CA)
CA
10/04/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAGUNA WOODS CA)
CA
11/25/2005 - 07/19/2007
A. G. EDWARDS & SONS, INC. (LAGUNA BEACH CA)
NY
11/18/2004 - 11/23/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 12/12/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/05/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/15/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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