Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Dixon is a financial advisor with UBS Financial Services Inc. Kathy has been in the industry since 1995 and has a broad range of experience. Kathy is registered to provide investment advice in 17 states. She is also a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wachovia Securities, LLC.
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
MO
10/15/2015 - Present
UBS Financial Services Inc. (Clayton MO)
MO
03/06/2008 - 10/16/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLAYTON MO)
MO
01/01/2008 - 03/07/2008
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MO
02/19/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
07/18/1995 - 02/18/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 07/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/1995
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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