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Kathleen Marie Collier

Ubs Financial Services Inc.

Northbrook, IL

Libertyville, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2004-02-13
  • IL RA
    APPROVED
    Since 2004-02-13

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States

Libertyville, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Northbrook IL 02/2004 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-24
S63 Uniform Securities Agent State Law Examination 1990-08-22
  • S65 Uniform Investment Adviser Law Examination
    2000-10-24
  • S63 Uniform Securities Agent State Law Examination
    1990-08-22
Other Names
  • Kathleen Zutty

View on SEC IAPD

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WALTER WALEED COSMO
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JAY MICHAEL RUBINSTEIN

Other Offices

ALLSTATE FINANCIAL ADVISORS, LLC · Northbrook, IL
RITHOLTZ WEALTH MANAGEMENT · Northbrook, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
DDS INVESTMENT MANAGEMENT, INC. · NORTHBROOK, IL
LPL ENTERPRISE, LLC · NORTHBROOK, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
OSAIC WEALTH, INC. · NORTHBROOK, IL
E. A. HORWITZ LLC · DEERFIELD, IL

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