Katherine Elizabeth Whitlock
Investment adviser representative at UBS Financial Services Inc.
16 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
16 years in the industry.
- UBS Financial Services Inc.Nov 2024 to now
- UnemployedJan 2024 to Nov 2024
- UBS Financial Services IncMay 2018 to Jan 2024
- Shelterbox International Disaster ReliefMar 2017 to May 2018
- University of California Santa BarbaraAug 2013 to Jun 2017
- Los Alamitos High SchoolJan 2008 to Jun 2017
Exams passed
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 1 state (CA).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6560746
- Firm CRD
- 8174