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Kathleen M Ferraro

Ubs Financial Services Inc.

Greenwich, CT

Stamford, CT

Stamford, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-05-16
TX RA APPROVED 2025-05-16
  • CT RA
    APPROVED
    Since 2025-05-16
  • TX RA
    APPROVED
    Since 2025-05-16

Branch Locations

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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
Citigroup Global Markets Inc. Greenwich CT 04/1990 03/2025
Morgan Stanley Smith Barney Greenwich CT 06/2009 03/2025
Ubs Financial Services Inc. Greenwich CT 05/2025 Present
Previous Registrations
  • 2009-06-01 → 2025-05-22
    Morgan Stanley
    Greenwich, CT
    Stamford, CT
    Stamford, CT
    Greenwich, CT
    Greenwich, CT
    Norwell, MA
    Cos Cob, CT
  • 2004-04-13 → 2009-06-01
    Citigroup Global Markets Inc.
    Greenwich, CT
    Greenwich, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-02
S63 Uniform Securities Agent State Law Examination 1989-10-05
  • S65 Uniform Investment Adviser Law Examination
    2001-03-02
  • S63 Uniform Securities Agent State Law Examination
    1989-10-05
Other Names
  • Kathleen M Kinchla
  • Kathleen Ferraro

View on SEC IAPD

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