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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Reiman is a financial advisor with over 39 years of experience in the industry. Kathy currently works at Morgan Stanley and is registered with FINRA and the states of Connecticut, Maine and Texas. She has worked at UBS Financial Services Inc. and Prudential Securities Incorporated, among others. Kathy has a Series 63, Series 65, Series 7, and SIE. She is a licensed broker in 26 states and an investment advisor in 3 states.
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
ME
05/05/2014 - Present
Morgan Stanley (Portland ME)
CT
04/14/2000 - 04/25/2014
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
NY
12/15/1995 - 04/19/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MA
01/26/1987 - 12/18/1995
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
02/24/1983 - 02/03/1987
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 02/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
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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