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Kathleen Ann Hendershott

Ubs Financial Services Inc.

West Des Moines, IA

Urbandale, IA

West Des Moines, IA

CRD 2814426

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2004-10-08
  • IA RA
    APPROVED
    Since 2004-10-08

Branch Locations

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • United States

Urbandale, IA • United States

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • 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. West Des Moines IA 06/2006 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-09-14
  • S63 Uniform Securities Agent State Law Examination
    1998-09-14
Other Names
  • Kathleen A Hendershott
  • Kathy Hendershott

View on SEC IAPD

Nearby Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.

Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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