Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Hoy is an investment advisor representative with UBS Financial Services Inc., a firm with over $700 billion in assets under management. Kathryn is a Registered Principal with the firm and holds several licenses and designations, including Series 7, Series 63, Series 52TO, Series 5, Series 9, Series 10, and Series 24. She has been active in the financial industry since 1985. Kathryn provides investment advisory services to individuals, families, and businesses. Kathryn has experience working at several financial institutions including RBC Dain Rauscher Inc. and UBS Financial Services 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
MN
11/29/2005 - Present
UBS Financial Services Inc. (WAYZATA MN)
NY
03/09/2004 - 12/07/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NJ
08/26/1999 - 03/11/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
03/02/1998 - 08/24/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
07/24/1985 - 03/02/1998
DAIN RAUSCHER INCORPORATED
IA
Issued 09/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1985
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 12/04/1987
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/12/1987
Series 24 - General Securities Principal Examination
BC
Issued 07/15/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/01/1973
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1988
Series 5 - Interest Rate Options Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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