Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kay? Claim Your ProfileKay Harrington is a financial advisor at Morgan Stanley. Kay has been in the industry since July 2002 and is currently registered with both the FINRA and the SEC. Kay holds the Series 7, Series 63 and Series 66 licenses as well as the SIE exam. Kay has experience working for various firms including Citigroup Global Markets Inc., UBS Financial Services Inc. and Wachovia Securities, Inc. Kay also has registrations in numerous states for both broker-dealer and investment advisor activities. Kay is currently located at the Buffalo, New York branch of Morgan Stanley.
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
05/15/2020 - Present
Morgan Stanley (Buffalo NY)
NY
09/13/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OLEAN NY)
NY
12/07/2004 - 09/05/2006
UBS FINANCIAL SERVICES INC. (BUFFALO NY)
MO
12/19/2000 - 05/29/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 10/29/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2000
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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