Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Sheehan is a registered representative with UBS Financial Services Inc. Kathleen has been in the securities industry since 1988. Prior to joining UBS Financial Services Inc., Kathleen was a registered representative with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS PaineWebber Inc., Lehman Brothers Inc., Bear, Stearns & Co. Inc., and Cowen & Co.. Kathleen holds a Series 7, Series 9, Series 10, Series 63, and Series 66 license. Kathleen specializes in providing financial planning, portfolio management for businesses and individuals, pension consulting, and educational seminars.
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
NJ
11/09/2023 - Present
UBS Financial Services Inc. (WESTFIELD NJ)
NY
06/01/2009 - 02/06/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
05/24/2002 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NJ
12/10/1994 - 06/20/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
06/03/1993 - 12/02/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/15/1993 - 04/30/1993
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
07/16/1991 - 03/23/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/11/1988 - 07/05/1991
COWEN & CO. (NEW YORK NY)
NY
11/25/1987 - 04/18/1988
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 09/09/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
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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