Katherine Ann Tracey

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
TN	RA	APPROVED	2024-01-26

TN RA
APPROVED

Since 2024-01-26

Branch Locations

608 Mabry Hood Road Suite 200, Knoxville, TN 37932 • 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	Knoxville	TN	03/2020	Present
Blount Memorial Hospital	Maryville	TN	03/2017	03/2020
Covenant Health	Louisville	TN	12/2014	02/2017

03/2020 → Present

Ubs

Knoxville, TN
03/2017 → 03/2020

Blount Memorial Hospital

Maryville, TN
12/2014 → 02/2017

Covenant Health

Louisville, TN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-01-26

S66 Uniform Combined State Law Examination

2024-01-26

Other Names

Katherine Ann Backhus
Katherine Tracey

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC

RAYMOND JAMES & ASSOCIATES, INC.

FIFTH THIRD SECURITIES, INC.

STATE FARM INVESTMENT MANAGEMENT CORP.

TRUIST ADVISORY SERVICES, INC.

PFS INVESTMENTS INC.

SAGESPRING WEALTH PARTNERS

Other Investors

WILLIAM HANKINS

WILLIAM MICHAEL HOTZFIELD

HUNTER NICHOLSON

Other Offices

STRATEGIC ADVISERS LLC · KNOXVILLE, TN

RAYMOND JAMES & ASSOCIATES, INC. · KNOXVILLE, TN

EDWARD JONES · FARRAGUT, TN

FIFTH THIRD SECURITIES, INC. · KNOXVILLE, TN

STATE FARM INVESTMENT MANAGEMENT CORP. · Farragut, TN

TRUIST ADVISORY SERVICES, INC. · KNOXVILLE, TN

PFS INVESTMENTS INC. · KNOXVILLE, TN

EDWARD JONES · KNOXVILLE, TN

More in Knoxville, TN

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