Emily Catherine Ettie

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

• 01/2017 → 01/2017
  Doctors Pediatric
  Wilton, CT
• 05/2017 → 07/2017
  Thor Specialties Inc.
  Shelton, CT
• 05/2018 → 08/2018
  Cny Group
  New York, NY
• 06/2019 → 07/2020
  Darien Ymca
  Darien, CT
• 01/2019 → 10/2019
  The Woods Bar
  Oxford, OH
• 01/2018 → 05/2020
  Miami University
  Oxford, OH
• 05/2020 → 06/2020
  Arezzo Restaurant
  Westport, CT
• 08/2020 → 05/2021
  Genesis Technologies
  Chicago, IL
• 05/2021 → 01/2023
  M1 Finance
  Chicago, IL
• 08/2016 → 05/2020
  Miama University
  Oxford, OH
• 01/2023 → 07/2024
  Morgan Stanley
  Chicago, IL
• 08/2024 → Present
  Ubs Financial Services Inc.
  Chicago, IL

Previous Registrations

• 2023-01-13 → 2024-08-06
  Morgan Stanley
  Chicago, IL

Exams

• S66 Uniform Combined State Law Examination
  2022-07-29