Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy P. Schildt is a financial advisor with UBS Financial Services Inc. Kathy has over 15 years of experience in the financial services industry. Kathy is a registered representative with FINRA and is licensed to sell securities in California, Florida, and Texas. Kathy's specializations include retirement planning, investment management, and insurance. She is committed to providing her clients with personalized financial advice to help them reach their goals. Prior to joining UBS, Kathy worked at Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., Bear, Stearns & Co. Inc., and Banc of America Investment 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
TX
03/09/2009 - Present
UBS Financial Services Inc. (PLANO TX)
TX
04/02/2007 - 02/07/2008
MORGAN STANLEY & CO., INCORPORATED (DALLAS TX)
TX
09/15/2004 - 04/02/2007
MORGAN STANLEY DW INC. (DALLAS TX)
NY
12/09/2003 - 08/03/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MA
08/19/2003 - 12/16/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
05/13/2003 - 08/29/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 11/20/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2003
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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