Catherine Mary Polisano

Ubs Financial Services Inc.

CRD 7404310

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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:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-08-07
NY	RA	APPROVED	2024-06-03

NJ RA
APPROVED

Since 2024-08-07
NY RA
APPROVED

Since 2024-06-03

Branch Locations

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • 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	New York	NY	07/2023	Present
Fordham University	New York	NY	07/2018	06/2023
Germantown Academy	Ambler	PA	08/2014	05/2018

07/2023 → Present

Ubs

New York, NY
07/2018 → 06/2023

Fordham University

New York, NY
08/2014 → 05/2018

Germantown Academy

Ambler, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-06-03

S66 Uniform Combined State Law Examination

2024-06-03

View on SEC IAPD

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