Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Farnham is a financial advisor registered with UBS Financial Services Inc. She is a registered representative of the firm, providing financial services in Newport, RI and surrounding areas. Katherine has been in the financial services industry since 1993, and has a strong track record of success. She is dedicated to providing her clients with personalized financial advice and guidance, and is committed to helping them achieve their financial goals.
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
RI
10/23/2008 - Present
UBS Financial Services Inc. (Newport RI)
RI
03/30/2004 - 11/06/2008
WACHOVIA SECURITIES, LLC (NEWPORT RI)
NY
03/12/2002 - 07/07/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/07/2000 - 09/27/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
11/09/1998 - 02/09/2000
COPELAND EQUITIES, INC. (SOMERSET NJ)
MA
10/22/1993 - 11/06/1998
DRAKE SECURITIES CORP. (BOSTON MA)
NJ
02/04/1992 - 11/17/1993
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
02/22/1991 - 02/21/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 11/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1990
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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