Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Ann Houston is an investment advisor representative registered in 49 states and two Canadian provinces. Kathy has been in the industry since 1993 and has worked for Morgan Stanley since 2009. Prior to that, Kathy was a registered representative with CITIGROUP GLOBAL MARKETS INC. from 2001 to 2009 and FIRST UNION SECURITIES, INC. from 1993 to 2001. Kathy has passed both the Series 66 and Series 7 exams. Kathy is currently registered with Morgan Stanley and offers a variety of financial services, including investment management for individuals, businesses, and investment companies. Kathy also offers financial planning services.
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
CO
12/09/2011 - Present
Morgan Stanley (Denver CO)
CO
02/07/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DENVER CO)
MO
04/30/1993 - 03/02/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 07/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/1993
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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