Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Anne Eastwick is a registered representative with UBS Financial Services Inc. and has been in the industry since March 2, 1987. Kathleen has a Series 7, Series 63 and SIE license. Kathleen has been with UBS Financial Services Inc. since November 2008. Prior to that, Kathleen worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Gotham Lawrence Corporation, Barber & Bronson Incorporated, and Prudential-Bache Securities Inc. Kathleen specializes in retirement planning, college savings, estate planning, and business planning.
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
FL
12/23/2008 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
FL
04/02/2007 - 11/11/2008
MORGAN STANLEY & CO. INCORPORATED (PALM BEACH FL)
FL
02/28/2002 - 04/02/2007
MORGAN STANLEY DW INC. (PALM BEACH FL)
NY
12/07/1999 - 11/26/2001
GOTHAM LAWRENCE CORPORATION (NEW YORK NY)
FL
11/27/1996 - 01/13/1998
BARBER & BRONSON INCORPORATED (MIAMI FL)
FL
03/06/1992 - 12/06/1994
BARBER & BRONSON INCORPORATED (MIAMI FL)
NY
09/25/1981 - 11/12/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
BC
Issued 12/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1981
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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