Katherine Ann Cook Maki

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 2021-07-09 → 2022-05-03
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Minneapolis, MN

Exams

• S66 Uniform Combined State Law Examination
  2021-04-03

Other Names

• Katherine Ann Cook
• Katherine Ann Cook Maki
• Katherine Ann Cook
• Katherine Maki