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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Elizabeth Caulder is a financial advisor with Morgan Stanley. Mary has been in the industry since 1994 and is registered with the state of California as an Investment Advisor Representative (IAR). Mary Elizabeth Caulder also holds Series 63, Series 65, Series 7 and SIE licenses. She has previously worked with CITIGROUP GLOBAL MARKETS INC. and Prudential Securities Incorporated. Mary Elizabeth Caulder is located in Folsom, California and is currently registered with the Financial Industry Regulatory Authority (FINRA).
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
02/15/2011 - Present
Morgan Stanley (Folsom CA)
CA
06/09/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FOLSOM CA)
NY
09/29/1994 - 05/24/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/08/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1994
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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