Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn E Mogg is a financial advisor with UBS Financial Services Inc. in WESTLAKE VILLAGE, CA. Kathryn has been in the financial services industry since January 2005. Prior to joining UBS Financial Services Inc. Kathryn was with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Kathryn has Series 7, Series 31, Series 66 and SIE licenses. Kathryn is registered to provide investment advice in CA. Kathryn specializes in investments, insurance, annuities, mutual funds, variable annuities, and other financial products and services.
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
CA
04/29/2011 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
06/01/2009 - 05/05/2011
MORGAN STANLEY SMITH BARNEY (SANTA MONICA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA MONICA CA)
CA
01/21/2005 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA MONICA CA)
BOTH
Issued 10/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/2005
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
Not sure Kathryn Mogg is the right advisor for you? Invested Better is here to help.
