Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Whitley is a registered investment advisor representative with Morgan Stanley. Kathy has over 30 years of experience in the financial services industry. She holds the Series 7, Series 31, Series 63, and Series 65 licenses. Kathy has previously been employed by Citigroup Global Markets Inc., Banc One Securities Corporation, and Wall Street Investor Services. Kathy provides portfolio management for individuals, businesses, and investment companies. She also offers financial planning services and educational seminars.
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
WV
06/01/2009 - Present
Morgan Stanley (Huntington WV)
WV
07/06/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HUNTINGTON WV)
IL
09/09/1993 - 06/15/1995
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
12/06/1990 - 08/19/1993
WALL STREET INVESTOR SERVICES (NEW YORK NY)
IA
Issued 08/07/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/1990
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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