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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Castelli is a registered investment advisor with Morgan Stanley and has been in the financial services industry since 1991. Kathryn is registered with the Securities and Exchange Commission (SEC) and holds several licenses including Series 3, 7, and 63. Kathryn is also a registered Investment Advisor Representative (IAR) in New York, New Jersey and Texas. Previously, Kathryn worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential Securities Incorporated. Kathryn's specializations include various investment areas including securities, commodities, and options. Kathryn has extensive experience providing financial advice to individuals, families, and businesses.
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
11/29/2022 - Present
Morgan Stanley (Jericho NY)
NY
04/29/2003 - 01/18/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BAYSIDE NY)
NY
08/01/1991 - 04/21/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 01/03/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1992
Series 3 - National Commodity Futures Examination
BC
Issued 07/31/1991
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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