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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Michaela Sullivan is a financial advisor with Morgan Stanley. Kathleen has over 10 years of experience in the financial services industry. Before joining Morgan Stanley, Kathleen worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Goldman, Sachs & Co. Kathleen holds a Series 7, Series 9, Series 63, and Series 66 license. Kathleen specializes in working with individual clients as well as insurance companies, investment companies, charitable organizations, high-net-worth individuals, and pension and profit-sharing plans. Kathleen provides a variety of financial services, including financial planning, portfolio management, pension consulting, and educational seminars.
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
NY
11/03/2022 - Present
Morgan Stanley (New York NY)
VA
04/23/2013 - 08/31/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (VIENNA VA)
NY
11/24/2010 - 02/20/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 12/18/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/23/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/13/2010
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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