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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia Komen is a financial advisor at Morgan Stanley. Tricia has been in the industry for over 20 years, working in a variety of roles at both Morgan Stanley and Citigroup Global Markets Inc. Tricia is a registered representative in Washington and Texas, and holds licenses for Series 66, Series 10, Series 9, Series 7, and SIE. Tricia also has experience with investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities. Tricia specializes in financial planning, portfolio management for individuals, businesses and investment companies, pension consulting, and selection of other advisors.
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
WA
06/01/2009 - Present
Morgan Stanley (Seattle WA)
WA
09/20/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BELLEVUE WA)
BOTH
Issued 01/26/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/28/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2000
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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