Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen M. Carroll has been in the financial services industry since 1994. Kathleen is currently registered with Morgan Stanley as a Registered Representative. Kathleen is also registered as an Investment Advisor Representative in California and Nevada and is a resident Investment Advisor Representative in Texas. Before joining Morgan Stanley in 2009, Kathleen was employed by Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Kathleen has a wide range of experience and holds Series 3, 6, 7, 31, 63 and 65 licenses. Kathleen has experience providing financial advice to a range of clients including individuals, corporations, high net worth individuals, pension and profit sharing plans, charitable organizations, insurance companies, and investment companies.
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
06/14/2018 - Present
Morgan Stanley (Menlo Park CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALO ALTO CA)
CA
03/20/1995 - 04/02/2007
MORGAN STANLEY DW INC. (PALO ALTO CA)
NY
10/05/1994 - 02/06/1995
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)
IA
Issued 06/04/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2004
Series 3 - National Commodity Futures Examination
BC
Issued 04/21/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/13/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/04/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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