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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ken? Claim Your ProfileKen Varughese is a financial advisor registered with Morgan Stanley. Ken has been working in the financial services industry since 2010. Ken has a Series 6, 7, 9, 10, 31, 63, and 66 licenses. Ken is registered with the state of New York as both a broker-dealer and an investment advisor. Ken also holds a Series 31 license, indicating experience with futures products. Ken is based in the New York City area and works with a variety of clients, including individuals, businesses, and institutions.
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
06/16/2021 - Present
Morgan Stanley (New York NY)
NJ
09/12/2017 - 08/17/2020
WELLS FARGO CLEARING SERVICES, LLC (PARAMUS NJ)
NY
04/13/2010 - 05/26/2016
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
NY
10/02/2007 - 01/29/2009
CHASE INVESTMENT SERVICES CORP. (WEST HEMPSTEAD NY)
BOTH
Issued 11/02/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/25/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/03/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 04/12/2010
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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