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Kenneth Lawrence Margolin

Morgan Stanley

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About Kenneth Lawrence Margolin

Kenneth Lawrence Margolin is an active Registered Representative and Investment Advisor Representative who has been in the industry since March 10, 1969. Kenneth Margolin is currently registered with Morgan Stanley and has been with the firm since June 1, 2009. Kenneth Margolin has held previous positions at CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC and PHILIPS, APPEL & WALDEN, INC. Kenneth Margolin is licensed in 26 states and the District of Columbia for Broker-Dealer and Investment Advisory services. Kenneth Margolin specializes in financial planning, portfolio management and educational seminars.

Firm Information

Kenneth Margolin is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Kenneth Margolin’s Registration & Firm History

NJ

06/01/2009 - Present

Morgan Stanley (Paramus NJ)

NJ

02/16/2007 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)

NJ

07/24/1992 - 03/01/2007

UBS FINANCIAL SERVICES INC. (PARAMUS NJ)

NY

02/15/1988 - 08/03/1992

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

08/03/1973 - 02/15/1988

E. F. HUTTON & COMPANY INC

NA

03/11/1969 - 08/19/1973

PHILIPS, APPEL & WALDEN, INC.

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Licenses & Designations

IA

Issued 04/01/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/31/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1981

Series 5 - Interest Rate Options Examination

BC

Issued 08/31/1977

PC - AMEX Put and Call Exam

BC

Issued 03/10/1969

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Kenneth Lawrence Margolin. Review regulatory record here.
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