Kathleen Germain Saba

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

• 12/2021 → 07/2023
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 08/2019 → 12/2021
  Fundbox Inc
  Plano, TX
• 12/2016 → 08/2019
  Fundbox
  Tel Aviv
• 05/2014 → 12/2016
  Adidas
  Tel Aviv
• 10/2013 → 06/2018
  Riechman University
  Herzliyya
• 06/2021 → 08/2021
  Liberty Mutual
  Plano, TX
• 01/2024 → 05/2024
  Altruist Corp
  Dallas, TX
• 01/2024 → 06/2024
  Altruist Llc
  Dallas, TX
• 01/2024 → 06/2024
  Altruist Financial Llc
  Dallas, TX
• 07/2023 → 12/2023
  Self Employed
  Richardson, TX
• 06/2024 → 10/2024
  Capitalize
  New York, NY
• 01/2025 → 06/2026
  Principal Life Insurance Company
  Phoenix, AZ
• 01/2025 → 06/2026
  Principal Securities, Inc.
  Phoenix, AZ
• 01/2025 → 06/2026
  Principal Advised Services
  Phoenix, AZ
• 06/2026 → Present
  Ubs Financial Services Inc.
  Phoenix, AZ

Previous Registrations

• 2025-02-13 → 2026-04-08
  Principal Advised Services
  Phoenix, AZ
• 2022-03-04 → 2023-07-13
  Vanguard Advisers, Inc.
  Plano, TX
  Scottsdale, AZ

Other Businesses

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/06/2025 ADDRESS: 711 High Street, DES MOINES IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/06/2025 ADDRESS: 711 High Street, DES MOINES IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams

• S66 Uniform Combined State Law Examination
  2022-02-07

Other Names

• Kathleen Germaine Saba
• Kathleen Saba