Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucinda? Claim Your ProfileLucinda Mary Bain is a financial advisor with over 40 years of experience in the industry. Lucinda is currently registered with Morgan Stanley as a registered representative and investment advisor representative. Lucinda was previously registered with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. in Vermont. Lucinda has passed the Series 63, Series 65, Series 7 and SIE exams. Lucinda is currently licensed in 35 states and the District of Columbia, and is registered as an investment advisor representative in Florida, Texas and Vermont.
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
VT
06/01/2009 - Present
Morgan Stanley (Colchester VT)
VT
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BURLINGTON VT)
VT
05/24/1983 - 04/02/2007
MORGAN STANLEY DW INC. (BURLINGTON VT)
IA
Issued 12/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
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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