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Katherine Kehler Farnham

Ubs Financial Services Inc.

Newport, RI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2008-10-23
  • RI RA
    APPROVED
    Since 2008-10-23

Branch Locations

130 Bellevue Avenue Suite 301, Newport, RI 02840 • 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 Providence RI 10/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-25
S63 Uniform Securities Agent State Law Examination 1991-10-18
  • S65 Uniform Investment Adviser Law Examination
    1998-11-25
  • S63 Uniform Securities Agent State Law Examination
    1991-10-18
Other Names
  • Katherine Stewart Kehler

View on SEC IAPD

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Other Offices

YOUNG RICHARD C & CO LTD · NEWPORT, RI
J.P. MORGAN SECURITIES LLC · Newport, RI
NEWEDGE ADVISORS · Newport, RI
OSAIC WEALTH, INC. · NEWPORT, RI
COMMONWEALTH FINANCIAL NETWORK · NEWPORT, RI
CETERA INVESTMENT ADVISERS LLC · NEWPORT, RI
FACTOR INVESTING GROUP · Newport, RI
MORGAN STANLEY · NEWPORT, RI

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