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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Knox is a financial advisor with UBS Financial Services Inc. based in New York, NY. Kathleen has been working in the financial industry since November 7, 1988. Kathleen has a wide range of experience, having worked for several firms prior to joining UBS. Kathleen is a Registered Representative and has a Series 7, 24, 55, 63, 66, 79 and 57 license. Kathleen also has experience in Investment Banking and is an active member of FINRA.
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
NY
08/19/2013 - Present
UBS Financial Services Inc. (New York NY)
NY
04/10/2013 - 06/11/2013
BONDS.COM, INC. (NEW YORK NY)
CT
12/20/2006 - 03/14/2011
MORGAN STANLEY DISTRIBUTION, INC. (GREENWICH CT)
NY
01/02/1997 - 11/28/2006
LEVCO SECURITIES, INC. (NEW YORK NY)
NY
04/23/1986 - 08/16/1996
ATALANTA/SOSNOFF MANAGEMENT CORPORATION (NEW YORK NY)
BOTH
Issued 08/16/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 03/12/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/19/1986
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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