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Kathleen Joanna Howard

Ubs Financial Services Inc.

Newport Beach, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-21
  • CA RA
    APPROVED
    Since 2025-01-21

Branch Locations

888 San Clemente Drive, Newport Beach, CA 92660 • 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
Morgan Stanley Smith Barney Long Beach CA 06/2009 01/2025
Morgan Stanley Long Beach CA 05/2016 01/2025
Ubs Financial Services Inc. Newport Beach CA 01/2025 Present
Previous Registrations
Other Businesses

*521136- Trust; Investment related-Yes; Los Alamitos, California; 09/2022; During business hours: 0; After business hours: 1.5

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-26
  • S66 Uniform Combined State Law Examination
    2001-01-26
Other Names
  • Kathleen Joanna Pellegrino

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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