Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Desoto is an active advisor registered with FINRA and the SEC and is a registered Investment Advisor Representative. Katharine has been working in the industry since 2007 and is currently employed by Morgan Stanley. Previously, Katharine was employed by UBS Financial Services Inc. and Morgan Stanley & Co. Incorporated. Katharine has Series 7, 31 and 66 licenses in addition to the SIE. Katharine works with individuals, high net worth individuals, corporations, investment clubs, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, banking or thrift institutions, and state or municipal government entities. Katharine provides a range of services including financial planning, portfolio management for individuals, businesses, and investment companies, educational seminars, asset allocation advice, and selection of other advisers.
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
06/01/2009 - Present
Morgan Stanley (Aventura FL)
NC
05/23/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHARLOTTE NC)
NC
10/19/2007 - 06/09/2008
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
BOTH
Issued 12/03/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/18/2007
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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