Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristin? Claim Your ProfileKristin Bateman is a financial advisor at UBS Financial Services Inc. Kristin has been in the financial services industry since 2002 and has been registered with UBS since 2008. Kristin is registered in California and Texas as an investment advisor representative. Kristin has earned the Series 6, 7, 26, 51 and 66 securities licenses and is a Chartered Financial Analyst. In the past, Kristin has also worked for First Republic Securities Company, LLC, HBW Securities LLC, Signator Investors, Inc. and Royal Alliance Associates, 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
CA
07/21/2022 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
02/10/2017 - 07/18/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (LOS ANGELES CA)
CA
04/28/2008 - 02/21/2017
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
CA
09/04/2006 - 04/22/2008
HBW SECURITIES LLC (SIMI VALLEY CA)
MA
09/02/2003 - 11/17/2004
SIGNATOR INVESTORS, INC. (BOSTON MA)
AZ
10/22/2002 - 02/04/2003
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
BOTH
Issued 09/26/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2007
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 09/07/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/21/2002
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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