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Patricia Kennedy Penn

Morgan Stanley

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About Patricia Kennedy Penn

Patricia Kennedy Penn is a financial advisor with over 29 years of experience in the financial services industry. Patricia Kennedy Penn is currently registered with Morgan Stanley in Alexandria, Virginia. Patricia Kennedy Penn has a Series 63, 65, and 7 licenses, as well as a Series 8 license and a Series 31. She is a Certified Financial Planner. She is also registered in 34 states. Patricia Kennedy Penn has previously worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Legg Mason Wood Walker, Incorporated, A. G. Edwards & Sons, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Patricia Penn 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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Patricia Penn’s Registration & Firm History

VA

06/01/2009 - Present

Morgan Stanley (Alexandria VA)

VA

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (ALEXANDRIA VA)

VA

07/01/2003 - 04/02/2007

MORGAN STANLEY DW INC. (ALEXANDRIA VA)

NY

02/28/2000 - 12/09/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

05/13/1998 - 07/08/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

MD

11/20/1996 - 04/03/1998

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

MO

09/24/1993 - 03/24/1994

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NY

02/07/1992 - 10/26/1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

04/24/1990 - 02/06/1992

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 03/13/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/15/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/06/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 04/21/1990

Series 7 - General Securities 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 no public disclosures for Patricia Kennedy Penn.
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