Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Winona Rogerson is a financial advisor with over 25 years of experience in the industry. Kathleen currently works at Morgan Stanley where she holds a Series 7, 9, 10, 66 and SIE licenses. Kathleen has previously worked for Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Kathleen provides financial planning, pension consulting, educational seminars, portfolio management for businesses, individuals and investment companies.
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
09/18/2020 - Present
Morgan Stanley (Palm Beach Gardens FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (W. PALM BEACH FL)
FL
03/10/2000 - 04/02/2007
MORGAN STANLEY DW INC. (W. PALM BEACH FL)
NY
12/07/1995 - 02/17/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 01/27/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/27/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1995
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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