Kenneth Samuel Catlett

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2004 → 10/2022
  Ubs Financial Services Inc.
  Wilmington, NC
• 10/2022 → Present
  Stifel, Nicolaus & Company, Incorporated
  Wilmington, NC

Previous Registrations

• 2004-04-23 → 2022-11-04
  Ubs Financial Services Inc.
  Wilmington, NC
  Wilmington, NC
• 2001-09-14 → 2004-04-29
  Wells Fargo Clearing Services, Llc
  Wilmington, NC

Other Businesses

1. OWO, Inc; 1206 Cyrpess Ave, Wrightsville Beach, NC 28480; Supporting education of Kenyan orphans & vocational training for Kenyan girls & women; Board of Directors; Assist with planning and execution of the mission of educating Kenyan youth; 11/07/2009; 12 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Seapath Yacht Club; 330 Causeway Dr Wrightsville Beach, NC 28480; Yacht Club and Marina; Member of Board of Directors; Provide guidance and oversight to general manager and long range planning for the club; 01/01/2019; 15 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 3. Wrightsville Beach Foundation; PO Box 956, Wrightsville Beach, NC 28480; Non profit supporting health and wellness in and around Wrightsville Beach; Board member; Help with events and sponsorships; 10/18/2023; 3 Hours per Month; Not during securities trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-08
• S63 Uniform Securities Agent State Law Examination
  1999-07-19

Designations

• Certified Financial Planner

Other Names

• Sam Catlett