Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Pinkerton is an Investment Advisor Representative with Morgan Stanley. Peggy has been in the securities industry since 1996 and has a broad range of experience in financial services. Peggy has held positions at various firms, including Raymond James Financial Services, Inc., Gенеoѕ Wealth Management, Inc., and Merrill Lynch. Peggy is registered with the Financial Industry Regulatory Authority (FINRA) and holds several licenses, including Series 7, Series 8, Series 9, Series 10, Series 63, and Series 65. Peggy is committed to providing her clients with personalized financial advice and investment management services.
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
08/21/2023 - Present
Morgan Stanley (Irvine CA)
CA
08/12/2020 - 04/10/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (Irvine CA)
CA
06/01/2017 - 08/13/2020
GENEOS WEALTH MANAGEMENT, INC. (IRVINE CA)
CA
02/12/2007 - 06/02/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
NJ
04/27/2004 - 04/28/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/29/1999 - 05/03/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/12/1994 - 06/18/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
10/20/1993 - 03/29/1994
ROCKEFELLER, ROTHSCHILD, & STEELE (BEVERLY HILLS CA)
NJ
06/05/1992 - 10/05/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 07/02/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/01/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1992
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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