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Anne Katherine Sun

Ubs Financial Services Inc.

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

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

Branch Locations

8044 Montgomery Road The Towers At Kenwood, Cincinnati, OH 45236 • 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
Td Ameritrade Omaha NE 07/2020 12/2021
The Fellowship Of Catholic University Students Genesse CO 06/2018 06/2020
Archdiocese Of Milwaukee St. Francis WI 07/2016 06/2018
Ubs Financial Services Inc Cincinnati OH 12/2021 Present
  • 07/2020 → 12/2021
    Td Ameritrade
    Omaha, NE
  • 06/2018 → 06/2020
    The Fellowship Of Catholic University Students
    Genesse, CO
  • 07/2016 → 06/2018
    Archdiocese Of Milwaukee
    St. Francis, WI
  • 12/2021 → Present
    Ubs Financial Services Inc
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-07
S63 Uniform Securities Agent State Law Examination 2020-11-11
  • S66 Uniform Combined State Law Examination
    2022-02-07
  • S63 Uniform Securities Agent State Law Examination
    2020-11-11
Other Names
  • Anne Katherine Mosher
  • Anne Katherine Katherine Sun

View on SEC IAPD

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JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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