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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 Diane Kutter is a financial advisor with UBS Financial Services Inc. Kathleen has been a financial advisor since 1998. She is registered with the Financial Industry Regulatory Authority (FINRA) and holds a Series 7, Series 10, Series 9, and Series 63 license, and holds the SIE certification. She is also registered as an investment advisor representative (IAR) in Arizona, California, Oregon, and Washington. She has experience working with clients of all types, including high-net-worth individuals, corporations, and non-profit organizations. Kathleen specializes in providing financial planning, portfolio management, and investment advisory services. Her previous experience includes working for McDonald Investments Inc. in Portland, Oregon and Key Investments Inc. in Cleveland, Ohio.
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
OR
02/09/2007 - Present
UBS Financial Services Inc. (Portalnd OR)
OR
05/14/1999 - 02/09/2007
MCDONALD INVESTMENTS INC. (PORTLAND OR)
OH
03/15/1999 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
OR
02/02/1998 - 03/12/1999
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
IA
Issued 05/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/1998
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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