Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Mary Allison is an active broker and investment advisor representative. Kathleen has been in the industry since November 16, 2000. Currently, Kathleen is registered with Morgan Stanley. Previously, Kathleen was affiliated with CITIGROUP GLOBAL MARKETS INC.. Kathleen has passed the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination. Kathleen is registered in 33 states, and the District of Columbia for broker services and in 2 states for investment advisor services.
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
MN
11/01/2016 - Present
Morgan Stanley (ROCHESTER MN)
MN
11/16/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER MN)
BC
Issued 01/15/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2000
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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