Paul D Katerndahl

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

• 08/2013 → Present
  Ubs Financial Services Inc
  Houston, TX

Previous Registrations

• 2008-01-16 → 2013-08-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palo Alto, CA
• 2004-05-20 → 2007-10-10
  Wells Fargo Investments, Llc
  Palo Alto, CA
  San Jose, CA
  Palo Alto, CA
• 2003-07-02 → 2004-05-20
  Ameriprise Advisor Services, Inc.
  Walnut Creek, CA
• 1997-07-08 → 2002-07-11
  Citigroup Global Markets Inc.
  San Francisco, CA

Other Businesses

R AND F.N. CHARITABLE TRUST / DANVILLE,CA 94506 / TRUST/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / ACT AS TRUSTEE FOR CHARITABLE TRUST CREATED TO GIVE SCHOLARSHIP MONEY TO S.I. HS, OHIO / TRUSTEE / / ACT AS SOLE TRUSTEE TO ADMINISTER THE DISTRIBUTION OF FUNDS TO THE BENEFICIARY. / START DATE 11/30/2007 /

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-09-24
• S63 Uniform Securities Agent State Law Examination
  1994-05-31

Other Names

• Paul David Katerndahl