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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colleen? Claim Your ProfileColleen Campbell is a financial advisor who has been in the industry since 2008. Colleen currently works for Morgan Stanley. Colleen has passed the Series 3, 66, 7, 9 and 10 exams. Colleen has registrations in 53 states and 5 IA states including Maine, Maryland, New York, Texas and Vermont. Colleen also has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc.. Prior to working at Morgan Stanley Colleen worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Portland, ME from 02/2011 and UBS Financial Services Inc. in South Burlington, VT from 01/2008. Colleen specializes in providing financial planning, pension consulting and selection of other advisors. Colleen is registered with FINRA.
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
05/07/2019 - Present
Morgan Stanley (PURCHASE NY)
ME
03/03/2011 - 06/16/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND ME)
VT
01/15/2008 - 02/25/2011
UBS FINANCIAL SERVICES INC. (SOUTH BURLINGTON VT)
BOTH
Issued 02/05/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/29/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/15/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2008
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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