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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katy? Claim Your ProfileKaty Yun Zhao is a financial advisor with Morgan Stanley. Katy Zhao has been in the financial services industry since 2009. Katy Zhao is registered with the state of California, Florida, New Jersey, and Texas, and is licensed to provide investment advice. Katy Zhao has a strong background in investment banking and has passed the Series 7, Series 63, Series 86, Series 87, and the SIE exams. Katy Zhao is committed to providing her clients with personalized financial advice and investment strategies.
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
CA
12/27/2016 - Present
Morgan Stanley (Pasadena CA)
IA
Issued 12/23/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2013
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 01/14/2012
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/02/2009
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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