Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Le is a financial advisor with over 17 years of experience in the industry. Cathy is currently registered with UBS Financial Services Inc., located in Salt Lake City, UT. Cathy is also registered in Colorado, Idaho, New Mexico, and Utah. Prior to joining UBS, Cathy was registered with Goldman Sachs & Co. LLC, located in New York, NY, and Fidelity Brokerage Services LLC, located in Salt Lake City, UT. Cathy has a strong track record of success and is committed to providing her clients with personalized financial advice and guidance. Cathy holds Series 7, 9, 10, 63, 66, 99, and SIE licenses.
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
UT
07/13/2022 - Present
UBS Financial Services Inc. (SALT LAKE CITY UT)
NY
02/17/2015 - 03/09/2022
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
UT
10/11/2004 - 01/23/2015
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
BOTH
Issued 04/06/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/19/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2004
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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