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 financial advisor at UBS Financial Services INC. in Westfield, NJ. Kathleen has been in the financial services industry since 1988. She has a variety of experience including working at 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 has a Series 63, 66, 7, 9 and 10 licenses. She is currently registered as a broker-dealer with the state of New Jersey and as an investment advisor with the state of New York. Kathleen specializes in financial planning, portfolio management for individuals and businesses, security ratings, pension consulting, educational seminars and the publication of periodicals.
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 9/9/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/25/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/25/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
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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