Katherine Whitted Groetzinger

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-11-17
NC	RA	APPROVED	2016-05-11

TX RA
APPROVED

Since 2016-11-17
NC RA
APPROVED

Since 2016-05-11

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Charlotte	NC	04/2015	Present

04/2015 → Present

Ubs Financial Services Inc.

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-05-11
S63	Uniform Securities Agent State Law Examination	2011-07-05

S66 Uniform Combined State Law Examination

2016-05-11
S63 Uniform Securities Agent State Law Examination

2011-07-05

Other Names

Katherine Brooks Whitted

View on SEC IAPD

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