Catherine Ann Brown

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

• 01/2013 → Present
  Ubs Financial Services Inc
  New York, NY

Other Businesses

Trust under the Will of Pauline Bomzer / 1963 W Hidden Reserve Ct. Mequon, WI 53092 / United States / We would need to establish an Estate where I am appointed as the executrix (for my Aunt Pauline Bomzer) and a trust will be set up Under the Will of Pauline Bomzer where I am one of the co-trustees and we have to act together not independently / To follow the instructions stated in the Will / No/ Active / Start Date 6/14/2019 Estate of Pauline Bomzer / 60 East End Avenue Apt 7 b NY, New York 10028 / Other / Other / It will be set up as an estate before it needs to be transferred into a Trust under the Will of Pauline Bomzer (my aunt) / An estate needs to be set up for my Aunt Pauline Bomzer that past away on June 1st, 20019 and I was appointed as the executrix of her estate. I had no knowledge that she was appointing me / Other / Executrix / Distributing the estate into the Trust under the Will of Pauline Bomzer and paying any estate taxes that need to be paid / Estate of Pauline Bomzer, where I am the executrix / Start Date 6/14/2019

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-01-26
• S63 Uniform Securities Agent State Law Examination
  1980-11-20