Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Cassandra Pruess is a financial advisor with over 16 years of experience in the industry. Kathleen is currently registered with Morgan Stanley and is licensed to provide financial advice in 53 states and the District of Columbia. Kathleen has held previous roles at WESTERN INTERNATIONAL SECURITIES, INC. and ROYAL ALLIANCE ASSOCIATES, INC.. Kathleen has a wide range of experience in financial planning, investment management, and portfolio management. Kathleen is committed to providing her clients with personalized advice and helping them reach their financial goals.
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
PA
01/28/2014 - Present
Morgan Stanley (Philadelphia PA)
DC
10/01/2009 - 12/20/2013
WESTERN INTERNATIONAL SECURITIES, INC. (WASHINGTON DC DC)
DC
12/21/2006 - 10/06/2009
ROYAL ALLIANCE ASSOCIATES, INC. (WASHINGTON DC)
BOTH
Issued 12/28/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/11/2007
Series 4 - Registered Options Principal Examination
BC
Issued 09/26/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/24/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kathleen Pruess is the right advisor for you? Invested Better is here to help.
