Catherine Baron
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
2 statesRegistered 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
12 years in the industry.
- UBS Financial Services Inc.Jun 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 2022 to Jun 2026
- US BankSep 2021 to Feb 2022
- AdpJan 2021 to Sep 2021
- Wiley Bros.-aintree Capital, LLCAug 2018 to Dec 2020
- KilwinsJun 2018 to Jul 2018
- Ronald Mcdonald House CharitiesJun 2017 to Aug 2017
- University of MississippiAug 2014 to May 2018
Exams passed
- Series 66 · Uniform Combined State Law2018
State registrations
Registered as an investment adviser representative in 2 states (TN, TX).
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
- 6993649
- Firm CRD
- 8174