Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Nuismer is a financial advisor at UBS Financial Services Inc. Catherine has been in the financial industry since 2012. She is licensed to provide financial advice in Tennessee. Catherine has a strong background in securities trading and operations. Catherine has passed several industry exams, including Series 7, Series 55, Series 57TO, Series 99TO, Series 9, and Series 10. She specializes in providing financial planning, portfolio management, and investment advice to individuals, businesses, and charitable organizations. Catherine was previously employed at Wiley Bros.-Aintree Capital, LLC.
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
TN
03/12/2018 - Present
UBS Financial Services Inc. (NASHVILLE TN)
TN
09/17/2012 - 03/01/2018
WILEY BROS.-AINTREE CAPITAL, LLC (NASHVILLE TN)
BOTH
Issued 01/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/22/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/18/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2016
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/14/2012
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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