Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Collier has been in the financial industry since 1990 and has been registered with UBS Financial Services Inc. since 2004. Kathleen is registered in 51 states and is also a registered Investment Adviser in Illinois. Kathleen has a wide range of experience and holds several licenses including Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, and SIE. In addition to being registered with UBS Financial Services Inc., Kathleen was previously registered with Citigroup Global Markets Inc. and Lehman Brothers Inc.
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
IL
02/13/2004 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
NY
07/31/1993 - 03/05/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/20/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/14/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
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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