KV
KV
Kathleen Valentine
42 Years of Experience
Palm Desert, CA
3 DisclosuresBroker
Kathleen Valentine is a registered investment advisor at Morgan Stanley, based in Palm Desert, CA, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
74199 El Paseo, Suite 201, Palm Desert, CA, 92260
Get directionsHistory
Regulatory History (3)
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Customer Dispute
July 2004Settled
Customer Dispute
May 1993Award / Judgment
Customer Dispute
May 1991Settled
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
December 2008 - June 2009 · 6 mos
Citigroup Global Markets INC.Broker
December 2008 - June 2009 · 6 mos
UBS Financial Services INC.
August 1999 - December 2008 · 9 yrs 4 mos
UBS Financial Services INC.Broker
July 1999 - December 2008 · 9 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1990 - July 1999 · 9 yrs 2 mos
Shearson Lehman Hutton INC.Broker
September 1984 - June 1990 · 5 yrs 9 mos
E. F. Hutton & Company INCBroker
January 1984 - November 1984 · 10 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
December 1983 - January 1984 · 1 mo
State Registrations45 states
AKALAZCACOCTDEFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNHNJNMNVNYOHOKORPARISCSDTNTXUTVAWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.