Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Quinn is a financial advisor with over 30 years of experience in the industry. Catherine is currently registered with UBS Financial Services Inc. and has been with the firm since June 2005. Catherine has also held positions at Wachovia Securities, LLC and Prudential Securities Incorporated. Catherine is a Series 6, 7, 63 and 65 licensed advisor. Catherine specializes in a wide range of financial services, including retirement planning, investment management, and insurance.
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
OH
06/17/2005 - Present
UBS Financial Services Inc. (COLUMBUS OH)
MO
07/01/2003 - 06/20/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/26/1984 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
06/11/1981 - 10/21/1981
JOHN NUVEEN & CO., INCORPORATED
IA
Issued 11/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
BC
Issued 06/08/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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