Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Brown is a financial advisor with over 40 years of experience in the industry. Catherine has been with UBS Financial Services Inc. since 2013. Prior to that, Catherine worked at MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC.. Catherine holds several licenses and certifications including the Series 7, Series 31, Series 5, and Series 63. Catherine specializes in providing financial planning, portfolio management, and investment advice to individuals, corporations, and businesses.
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.
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.
See schedule d - miscellaneous
1
2
NY
09/02/2015 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 02/12/2013
MORGAN STANLEY (NEW YORK NY)
NY
05/08/1980 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NA
12/19/1979 - 06/11/1980
OPPENHEIMER & CO., INC.
IA
Issued 01/26/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/15/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/15/1979
Series 7 - General Securities Representative Examination
Active
Inactive
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
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