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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 Caldera is a Registered Representative with Morgan Stanley. Kathleen has been in the securities industry for over 15 years, beginning her career in 2006. Kathleen has Series 7, 9, 10, 63 and 65 licenses. Kathleen is a registered Investment Advisor in Texas and Florida. Kathleen holds a FINRA Series 3 license as well. Prior to joining Morgan Stanley, Kathleen worked at CITIGROUP GLOBAL MARKETS INC. Kathleen's office is located in Miami, Florida, where she works with high net worth individuals, insurance companies, investment companies, charitable organizations, banking or thrift institutions, pension and profit-sharing plans, and corporations or other businesses. Kathleen is a strong proponent of financial planning and provides services such as asset allocation advice, financial planning, 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
FL
02/25/2019 - Present
Morgan Stanley (Miami FL)
FL
02/02/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CORAL GABLES FL)
IA
Issued 05/12/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/19/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2008
Series 3 - National Commodity Futures Examination
BC
Issued 02/01/2006
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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