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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monique? Claim Your ProfileMonique Alicia Morris is a financial advisor who has been in the industry since August 16, 1996. Monique is currently registered with Morgan Stanley in California and Texas. She is also registered as an Investment Advisor in California and Texas. Monique is associated with Morgan Stanley since June 2009. Previously, Monique was registered with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. in California and with Paine Webber Incorporated and Dean Witter Reynolds Inc. in New Jersey and New York. Monique holds Series 63, 65, 7, 31, and SIE licenses. Monique offers a variety of financial services to individuals, families, and businesses including financial planning, asset allocation advice, educational seminars, and portfolio management.
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
03/11/2020 - Present
Morgan Stanley (Pasadena CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GLENDALE CA)
CA
07/12/2000 - 04/02/2007
MORGAN STANLEY DW INC. (GLENDALE CA)
NJ
11/03/1999 - 07/10/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/16/1996 - 06/29/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 03/25/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1996
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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