Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Lynn Williams is a financial advisor with UBS Financial Services Inc. Cathy has been in the financial industry since 1985. Cathy is registered with FINRA and the state of Georgia. Cathy has a strong track record of success in the financial industry and is committed to providing her clients with the highest level of service and expertise.
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
05/27/2009 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
01/13/2001 - 06/17/2009
DEUTSCHE BANK SECURITIES INC. (ATLANTA GA)
MD
07/29/1999 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
MO
05/27/1999 - 07/22/1999
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
08/20/1985 - 02/18/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/25/1987 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/09/1988 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BOTH
Issued 02/29/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/30/1995
Series 24 - General Securities Principal Examination
BC
Issued 12/23/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1996
Series 3 - National Commodity Futures Examination
BC
Issued 08/17/1985
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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