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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Rae Katz Morton is a financial advisor with Wealthpenn.comllc. She has been in the financial services industry since November 1988 and has a broad range of experience in the securities industry. Her previous employments include Citigroup Global Markets Inc. and Lehman Brothers Inc. Cindy holds multiple licenses and certifications including Series 3, 7, 63, and 65. She is also registered as a broker-dealer in Florida and as an investment advisor representative in Texas. Cindy offers a wide range of financial services, including portfolio management, financial planning, and pension consulting. She serves clients in various industries including banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Cindy is committed to providing her clients with personalized financial advice and guidance.
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
FL
02/20/2020 - Present
Wealthpenn.comllc (Boca Raton FL)
FL
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
NY
11/28/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 6/2/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1988
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1988
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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