Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Elizabeth Horan is a financial professional with over 15 years of experience in the industry. Kathleen is currently registered with UBS Asset Management (us) Inc., UBS Fund Services (usa) LLC, and UBS Financial Services Inc. Kathleen has a Series 7, Series 27, Series 99TO, and SIE license. Kathleen has been registered in New Jersey since 2010.
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.
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.
1
2
NY
03/24/2017 - Present
UBS Asset Management (us) Inc. (NEW YORK NY)
NJ
08/27/2007 - 01/01/2010
UBS SERVICES USA LLC (WEEHAWKEN NJ)
BC
Issued 12/06/2014
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2007
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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