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Katherine Ann Cook Maki

Ubs Financial Services Inc.

St Paul, MN

Cottage Grove, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-09-02
  • MN RA
    APPROVED
    Since 2022-09-02

Branch Locations

444 Cedar St, St Paul, MN 55101-2108 • United States

Cottage Grove, MN • 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
Natural Science Academy Hermantown MN 07/2018 09/2020
Natural Science Academy Hermantown MN 03/2017 06/2018
Fidelity Investments Oakdale MN 09/2020 05/2021
Stay At Home Parent Cottage Grove MN 12/2010 03/2017
Randstad Minneapolis MN 05/2021 02/2022
Wells Fargo Clearing Services Minneapolis MN 06/2021 05/2022
Northwestern Mutual Seattle WA 05/2022 08/2022
Ubs Financial Saint Paul MN 08/2022 Present
  • 07/2018 → 09/2020
    Natural Science Academy
    Hermantown, MN
  • 03/2017 → 06/2018
    Natural Science Academy
    Hermantown, MN
  • 09/2020 → 05/2021
    Fidelity Investments
    Oakdale, MN
  • 12/2010 → 03/2017
    Stay At Home Parent
    Cottage Grove, MN
  • 05/2021 → 02/2022
    Randstad
    Minneapolis, MN
  • 06/2021 → 05/2022
    Wells Fargo Clearing Services
    Minneapolis, MN
  • 05/2022 → 08/2022
    Northwestern Mutual
    Seattle, WA
  • 08/2022 → Present
    Ubs Financial
    Saint Paul, MN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-03
  • S66 Uniform Combined State Law Examination
    2021-04-03
Other Names
  • Katherine Ann Cook
  • Katherine Ann Cook Maki
  • Katherine Ann Cook
  • Katherine Maki

View on SEC IAPD

Other Firms

CLEARWATER MANAGEMENT CO., INC.
FIDUCIARY COUNSELLING INC
MAIRS & POWER
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
HILLTOP SECURITIES INC.
WELLS FARGO CLEARING SERVICES, LLC
CAPTRUST
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

HEATHER FITCH RADCLIFF
CHRISTOPHER J SCHWARTZ
JAMES P. SHAFER
MICHAEL BRIAN BLOCK
Kathryn Marie Viste
Creighton Silvain
Thomas Running
DOUGLAS JAMES BRUCE

Other Offices

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN
HILLTOP SECURITIES INC. · St. Paul, MN
WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN
CAPTRUST · ST. PAUL, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SAINT PAUL, MN

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