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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 Roeser is a financial advisor with Morgan Stanley, having joined the firm in June 2009. Kathleen has over 30 years of experience in the financial services industry and holds a variety of licenses and registrations, including Series 7, 24, 31, 63, and 65. She is also registered as a broker-dealer in multiple states. Kathleen specializes in providing asset allocation advice, financial planning, and portfolio management for individuals, families, and businesses. She is committed to providing her clients with personalized financial advice and guidance.
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
IL
10/01/2010 - Present
Morgan Stanley (Deerfield IL)
IL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
IL
02/21/2007 - 04/02/2007
MORGAN STANLEY DW INC. (CHICAGO IL)
IL
06/01/1998 - 02/27/2007
LINCOLN FINANCIAL ADVISORS CORPORATION (CHICAGO IL)
IN
08/12/2003 - 06/12/2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
PA
09/24/1987 - 06/01/1998
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
IA
Issued 05/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/23/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/19/1987
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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