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Kenneth Catanella

Ubs Financial Services Inc.

Philadelphia, PA

Rocklin, CA

CRD 2638110

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2024-06-10
TX RA APPROVED 2024-01-17
PA RA APPROVED 2023-11-03
  • CA RA
    APPROVED
    Since 2024-06-10
  • TX RA
    APPROVED
    Since 2024-01-17
  • PA RA
    APPROVED
    Since 2023-11-03

Branch Locations

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • United States

Rocklin, CA • 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
Ubs Financial Services, Inc. Philadelphia PA 06/2023 Present
Hays Talent Solutions, Llc Tampa FL 12/2022 06/2023
Sacramento Kings Limited Partnership Sacramento CA 05/2016 04/2022
Unemployed Rocklin CA 04/2022 12/2022
  • 06/2023 → Present
    Ubs Financial Services, Inc.
    Philadelphia, PA
  • 12/2022 → 06/2023
    Hays Talent Solutions, Llc
    Tampa, FL
  • 05/2016 → 04/2022
    Sacramento Kings Limited Partnership
    Sacramento, CA
  • 04/2022 → 12/2022
    Unemployed
    Rocklin, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-03
  • S66 Uniform Combined State Law Examination
    2023-11-03
Other Names
  • Kenneth Nicholas Catanella

View on SEC IAPD

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