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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Miller is a financial advisor with over 20 years of experience in the industry. Kathryn has a strong background in providing financial planning and portfolio management services to individuals, businesses, and institutions. Kathryn currently works at UBS Financial Services Inc. in Johnstown, OH and Nashville, TN. Kathryn holds a Series 7, Series 6, Series 63, and Series 65 licenses and is registered to offer investment advisory services in all 50 states. Kathryn is also registered with FINRA, a self-regulatory organization. Kathryn is a registered representative with FINRA and is a member of the Ohio Securities Dealers Association. Kathryn's firm, UBS Financial Services Inc., is one of the largest wealth management firms in the world.
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
TN
05/04/2023 - Present
UBS Financial Services Inc. (NASHVILLE TN)
NY
10/27/2022 - 05/11/2023
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
IN
12/18/2017 - 11/04/2022
UBS FINANCIAL SERVICES INC. (INDIANAPOLIS IN)
CO
10/21/2002 - 12/06/2017
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
12/07/1998 - 10/21/2002
ONE ORCHARD EQUITIES, INC. (GREENWOOD VILLAGE CO)
IA
Issued 03/15/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2018
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1998
Series 6 - Investment Company Products/Variable Contracts 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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