Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Reilley is an investment advisor representative with UBS Financial Services Inc. Kathleen has been in the industry since 1981 and has been registered with UBS Financial Services Inc. since 1988. Kathleen has a Series 7, Series 3, Series 31, Series 63 and Series 66 license. Kathleen is licensed in 31 states and holds a FINRA registration. Kathleen is also registered as an Investment Advisor Representative in 4 states. Kathleen is based in EAST PATCHOGUE, NY and specializes in providing financial advice and services to individuals, families, and businesses. Kathleen has experience in a variety of financial areas, including retirement planning, college savings, estate planning, and insurance. Kathleen is committed to providing her clients with personalized service and helping them achieve their financial goals.
EAST PATCHOGUE, NY
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
09/23/2002 - Present
UBS Financial Services Inc. (EAST PATCHOGUE NY)
NA
07/31/1981 - 06/29/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BOTH
Issued 5/4/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/29/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/28/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 8/15/1984
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1978
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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