KS
CFP
KS
CFP
Kate Sweeney is a CFP-designated registered investment advisor at Morgan Stanley, based in Winter Park, FL, 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
250 Park Avenue South, Suite 500, Winter Park, FL, 32789
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Regulatory History (2)
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Customer Dispute
November 2004Denied
Customer Dispute
January 2003Settled
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
May 2002 - June 2009 · 7 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
October 1986 - July 1993 · 6 yrs 9 mos
Painewebber IncorporatedBroker
January 1984 - October 1986 · 2 yrs 9 mos
State Registrations34 states
AZCACOCTDCDEFLGAHIIDILINKSKYMAMDMIMONCNHNJNMNVNYOHPARISCTNTXVAVTWAWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.