Kathleen Germain Saba
Investment adviser representative at UBS Financial Services Inc.
13 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
13 years in the industry.
- UBS Financial Services Inc.Jun 2026 to now
- Principal Advised ServicesJan 2025 to Jun 2026
- Principal Life Insurance CompanyJan 2025 to Jun 2026
- Principal Securities, Inc.Jan 2025 to Jun 2026
- CapitalizeJun 2024 to Oct 2024
- Altruist CorpJan 2024 to Jun 2024
- Altruist Financial LLCJan 2024 to Jun 2024
- Self EmployedJul 2023 to Dec 2023
- The Vanguard Group, Inc.Dec 2021 to Jul 2023
- Liberty MutualJun 2021 to Aug 2021
- Fundbox IncDec 2016 to Dec 2021
- AdidasMay 2014 to Dec 2016
- Riechman UniversityOct 2013 to Jun 2018
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 1 state (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
- 7463456
- Firm CRD
- 8174