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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Katerndahl is an investment advisor representative at UBS Financial Services Inc. Paul Katerndahl has been in the industry since 1995. Paul Katerndahl specializes in portfolio management for individuals and businesses, financial planning, pension consulting, educational seminars, and publication of periodicals. Paul Katerndahl is registered with the state of California as an investment advisor representative and as a securities agent. Paul Katerndahl was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Investments, LLC, H&R Block Financial Advisors, Inc., Salomon Smith Barney Inc., and Dean Witter Reynolds 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
08/23/2013 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
01/16/2008 - 08/30/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MENLO PARK CA)
CA
05/20/2004 - 10/10/2007
WELLS FARGO INVESTMENTS, LLC (PALO ALTO CA)
MI
07/08/2002 - 05/20/2004
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NY
09/11/1996 - 07/11/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/23/1994 - 10/16/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/31/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2008
Series 3 - National Commodity Futures Examination
BC
Issued 06/07/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 05/20/1994
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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