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Katherine Klempen

Ubs Financial Services Inc.

Chicago, IL

CRD 7752929

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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 2025-04-29
  • IL RA
    APPROVED
    Since 2025-04-29

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • 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
Charles Schwab & Co., Inc. Chicago IL 06/2023 10/2024
Unemployed Christiansted VI 06/2013 07/2018
Full-Time Education Geneva NY 08/2018 05/2019
Chicago Yacht Club Chicago IL 05/2019 09/2019
Full-Time Education Geneva NY 09/2019 05/2020
Chicago Yacht Club Chicago IL 05/2020 09/2020
Full-Time Education Geneva NY 09/2020 05/2021
Chicago Yacht Club Chicago IL 05/2021 09/2021
Full-Time Education Gneva NY 09/2021 05/2022
Chicago Yacht Club Chicago NY 05/2022 06/2023
Ubs Financial Services Inc. Chicago IL 10/2024 Present
  • 06/2023 → 10/2024
    Charles Schwab & Co., Inc.
    Chicago, IL
  • 06/2013 → 07/2018
    Unemployed
    Christiansted, VI
  • 08/2018 → 05/2019
    Full-Time Education
    Geneva, NY
  • 05/2019 → 09/2019
    Chicago Yacht Club
    Chicago, IL
  • 09/2019 → 05/2020
    Full-Time Education
    Geneva, NY
  • 05/2020 → 09/2020
    Chicago Yacht Club
    Chicago, IL
  • 09/2020 → 05/2021
    Full-Time Education
    Geneva, NY
  • 05/2021 → 09/2021
    Chicago Yacht Club
    Chicago, IL
  • 09/2021 → 05/2022
    Full-Time Education
    Gneva, NY
  • 05/2022 → 06/2023
    Chicago Yacht Club
    Chicago, NY
  • 10/2024 → Present
    Ubs Financial Services Inc.
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-29
S63 Uniform Securities Agent State Law Examination 2023-10-25
  • S66 Uniform Combined State Law Examination
    2025-04-29
  • S63 Uniform Securities Agent State Law Examination
    2023-10-25
Other Names
  • Kate Klempen

View on SEC IAPD

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Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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