Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Wong-Conway is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Katharine has been in the industry since 1996 and has been registered in multiple states for brokerage and investment advisory services. Katharine holds the Series 7, Series 63 and Series 66 licenses. Katharine has been with Morgan Stanley since 2022 and previously worked with other firms including MORGAN STANLEY & CO., INCORPORATED, SALOMON SMITH BARNEY INC., BRAD PEERY INC., and HAMBRECHT & QUIST 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
08/30/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RANCHO SANTE FE CA)
CA
07/21/2023 - 07/18/2024
MORGAN STANLEY (La Jolla CA)
NY
05/03/2001 - 03/12/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
12/15/2000 - 04/26/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
07/25/2000 - 09/07/2000
BRAD PEERY INC. (MILL VALLEY CA)
CA
01/07/1997 - 09/08/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
CA
08/20/1996 - 01/28/1997
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 11/07/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/08/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/23/2023
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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