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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Rand is an active investment advisor representative with Morgan Stanley. Katherine has been in the financial services industry for 29 years, joining Morgan Stanley in 2009. Previously, Katherine was with Morgan Stanley DW Inc. and PaineWebber Incorporated. Katherine has a broad range of experience and holds both series 63 and 65 licenses. Katherine is registered with the Securities and Exchange Commission (SEC) and is also a registered investment advisor in Texas. Katherine has a strong track record of success in the financial services industry and is committed to providing her clients with personalized 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
VA
06/01/2009 - Present
Morgan Stanley (Roanoke VA)
VA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROANOKE VA)
VA
10/26/1994 - 04/02/2007
MORGAN STANLEY DW INC. (ROANOKE VA)
NJ
03/09/1994 - 10/26/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 03/04/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/08/1994
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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