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Catherine Francine Vivado

Ubs Financial Services Inc.

Midlothian, IL

Oakbrook Terrace, IL

CRD 7709617

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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
IL RA APPROVED 2024-11-21
  • IL RA
    APPROVED
    Since 2024-11-21

Branch Locations

Midlothian, IL • United States

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • 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 Oakbrook Terrace IL 04/2023 Present
University Of Il Chicago Chicago IL 08/2017 04/2023
Rw Rodgers Co. St. Charles IL 01/2016 08/2017
  • 04/2023 → Present
    Ubs Financial Services
    Oakbrook Terrace, IL
  • 08/2017 → 04/2023
    University Of Il Chicago
    Chicago, IL
  • 01/2016 → 08/2017
    Rw Rodgers Co.
    St. Charles, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-21
  • S66 Uniform Combined State Law Examination
    2024-11-21

View on SEC IAPD

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