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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey David Traum is an investment advisor representative with over 37 years of experience in the financial services industry. Jeffrey is registered with Morgan Stanley and has been with the firm since 2009. Prior to that, Jeffrey worked for Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Jeffrey holds Series 3, 7, and 63 securities licenses as well as a Series 65 investment advisor license. Jeffrey is also registered as an investment advisor in numerous states across the US.
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 (Menlo Park CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALO ALTO CA)
CA
10/26/1984 - 04/02/2007
MORGAN STANLEY DW INC. (PALO ALTO CA)
IA
Issued 11/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1990
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1984
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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