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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 Morrison is a financial advisor at Morgan Stanley with over 14 years of experience in the industry. Monique has worked for a variety of financial firms throughout her career, including Charles Schwab & Co., Inc., Royal Alliance Associates, Inc., and Scottrade, Inc. Monique holds a Series 6, 7, 9, 10, 63, and 66 licenses, as well as a Certified Financial Planner designation. Monique is registered with the state of California and specializes in providing investment advice to individuals, businesses, and investment companies. Monique also offers financial planning, pension consulting, and educational seminars.
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
02/12/2023 - Present
Morgan Stanley (San Jose CA)
CA
06/30/2022 - 01/06/2023
ROYAL ALLIANCE ASSOCIATES, INC. (REDWOOD CITY CA)
CA
01/13/2017 - 04/14/2021
CHARLES SCHWAB & CO., INC. (Campbell CA)
CA
06/18/2008 - 12/09/2016
SCOTTRADE, INC. (SAN JOSE CA)
CA
12/07/2007 - 02/13/2008
MORGAN STANLEY & CO., INCORPORATED (PALO ALTO CA)
CA
05/01/2006 - 12/31/2006
FARMERS FINANCIAL SOLUTIONS, LLC (SAN MATEO CA)
BOTH
Issued 03/01/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2007
Series 7 - General Securities Representative Examination
BC
Issued 04/29/2006
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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