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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 Carre is an active Registered Representative and Investment Advisor Representative with Morgan Stanley in La Jolla, CA. Kathleen has been in the financial services industry since July 2, 2000. Prior to joining Morgan Stanley, Kathleen was employed by UBS Financial Services Inc. and Citigroup Global Markets Inc. Kathleen holds Series 7, 9, 10, 63 and 66 licenses. Kathleen specializes in providing financial advice to a wide range of clients, including high net worth individuals, individuals other than high net worth, corporations or other businesses, pension and profit sharing plans, insurance companies, investment companies, charitable organizations, and banking or thrift institutions. Kathleen is registered with the Securities and Exchange Commission (SEC) and with the following states: Alaska, Arizona, California, Hawaii, Indiana, Massachusetts, Michigan, Montana, Nebraska, Nevada, New Mexico, New York, Oklahoma, Oregon, Texas, Virginia and Washington.
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
CA
11/03/2023 - Present
Morgan Stanley (La Jolla CA)
NJ
08/22/2011 - 11/14/2023
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
06/01/2009 - 09/07/2011
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
07/03/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
BOTH
Issued 12/15/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/17/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2000
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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