Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Marie Ames is an investment advisor representative with over 18 years of experience in the financial industry. Kathleen Ames is currently registered with Wells Fargo Clearing Services, LLC, a firm with over 13,000 advisors and over $500 billion in assets under management. Kathleen Ames is licensed to provide advisory services in multiple states across the United States. Kathleen Ames specializes in providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions. Prior to joining Wells Fargo Clearing Services, LLC, Kathleen Ames was employed by Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc., for a combined 8 years. Kathleen Ames is a well-respected advisor with a strong track record of success.
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.
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.
Investment consulting services to institutional clients
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
09/01/2016 - Present
Wells Fargo Clearing Services, LLC (BREA CA)
CA
06/01/2009 - 09/09/2016
MORGAN STANLEY (BREA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BREA CA)
CA
01/10/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BREA CA)
BOTH
Issued 04/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/27/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/09/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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