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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Georgette Caito is a financial advisor at UBS Financial Services Inc. Kim has been in the financial industry since 1989 and has experience with a variety of clients, including individuals, businesses, and institutions. Kim holds both Series 63 and Series 65 licenses. Kim also holds Series 7 and SIE licenses. Kim has experience working with clients in various states, including Ohio, Florida, Texas, Maine, New Jersey and others. Kim has previously worked at MCDONALD INVESTMENTS INC., A. G. EDWARDS & SONS, INC., KEY INVESTMENTS INC., SOCIETY INVESTMENTS, INC., and ROBERT THOMAS SECURITIES, INC. Kim is committed to helping clients achieve their financial goals.
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
OH
05/11/2011 - Present
UBS Financial Services Inc. (PEPPER PIKE OH)
OH
05/14/1999 - 02/09/2007
MCDONALD INVESTMENTS INC. (MENTOR OH)
OH
11/16/2006 - 11/28/2006
A. G. EDWARDS & SONS, INC. (MENTOR OH)
OH
03/03/1995 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
NA
06/28/1990 - 03/03/1995
SOCIETY INVESTMENTS, INC.
FL
11/23/1988 - 04/16/1990
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
IA
Issued 01/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1988
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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