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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Diane Dorton is a registered investment advisor representative with Morgan Stanley. Rebecca has been in the financial services industry for over 20 years. Rebecca is licensed to sell securities in over 30 states. She has earned Series 7, 9, 10, 63 and 65 licenses. Rebecca has experience with a broad range of financial products, including stocks, bonds, mutual funds, and options. Rebecca previously worked at Citigroup Global Markets Inc. and Salomon Smith Barney Inc.
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
OH
08/08/2018 - Present
Morgan Stanley (Cincinnati OH)
OH
06/01/2009 - 06/20/2011
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
02/14/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
NY
11/20/2001 - 01/09/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/03/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/17/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2001
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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