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Anne Katherine Mosher

UBS Financial Services Inc.

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About Anne Katherine Mosher

Anne Katherine Mosher is a financial advisor at UBS Financial Services Inc. with over a year of experience in the financial industry. Anne is licensed to provide financial advice in both Kentucky and Ohio. Anne holds the Series 7TO, SIE, 63 and 66 licenses. Anne has a broad range of experience and can assist a diverse group of clients with their financial needs.

Firm Information

Anne Mosher is currently registered with UBS Financial Services Inc.. UBS Financial Services Inc. is a corporation formed on June 30, 1969, headquartered in Weehawken, NJ. With over $50 billion in assets under management, the firm provides a range of advisory services, including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals. The firm has over 6,000 licensed agents, 9,000 investment advisor representatives, and 11,000 registered representatives, serving a diverse clientele including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. UBS Financial Services Inc. is registered with the SEC and in all 50 states and Puerto Rico.
UBS Financial Services Inc.

1200 HARBOR BOULEVARD

WEEHAWKEN, NJ 07086

$702.39B

Assets Under Management

21,125

Total Clients

10,299

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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Anne Mosher’s Registration & Firm History

OH

02/09/2022 - Present

UBS Financial Services Inc. (CINCINNATI OH)

NE

11/03/2020 - 11/25/2021

TD AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 02/07/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/11/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2020

Series 7TO - General Securities Representative Examination

BC

Issued 09/04/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anne Katherine Mosher.
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