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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Regina? Claim Your ProfileRegina Rule is a financial advisor with Morgan Stanley. Regina has been in the industry since 1984 and has experience in providing financial advice to individuals, families, and businesses. Regina has a wide range of experience in financial planning, investment management, and retirement planning. Regina holds several industry certifications including Series 7, Series 3, Series 5, Series 15, Series 63 and Series 66. Regina is also registered with the states of Connecticut, New York and Texas.
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
NY
02/19/2020 - Present
Morgan Stanley (Garden City NY)
NA
10/25/1991 - 01/28/1994
GOLDMAN SACHS MONEY MARKETS, L.P.
NA
03/23/1988 - 10/25/1991
GOLDMAN SACHS MONEY MARKETS INC.
NA
12/19/1984 - 03/29/1988
GOLDMAN, SACHS & CO.
BOTH
Issued 02/15/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2019
Series 7TO - General Securities Representative Examination
BC
Issued 11/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 02/12/1985
Series 5 - Interest Rate Options Examination
BC
Issued 12/15/1984
Series 7 - General Securities Representative Examination
BC
Issued 01/20/1984
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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