Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathleen? Claim Your ProfileCathleen Adams is a financial advisor with UBS Financial Services Inc. Cathleen has over 20 years of experience in the financial services industry and is registered to provide investment advice in 31 states. Cathleen previously worked at Lamon & Stern, Inc. and Patrick Capital Markets, LLC. Cathleen holds the Series 63, Series 7 and SIE licenses. Cathleen's areas of expertise include portfolio management for individuals and businesses, financial planning, and pension consulting.
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
GA
02/16/2024 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
04/18/2011 - 03/03/2022
LAMON & STERN, INC. (ATLANTA GA)
MO
08/27/2010 - 02/28/2011
PATRICK CAPITAL MARKETS, LLC (ST LOUIS MO)
GA
04/07/2009 - 05/06/2009
LAMON & STERN, INC. (ATLANTA GA)
GA
08/23/2001 - 06/04/2008
LAMON & STERN, INC. (ATLANTA GA)
BC
Issued 11/20/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2001
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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