Emily Catherine Ettie
Investment adviser representative at UBS Financial Services Inc.
10 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
10 years in the industry.
- UBS Financial Services Inc.Aug 2024 to now
- Morgan StanleyJan 2023 to Jul 2024
- M1 FinanceMay 2021 to Jan 2023
- Genesis TechnologiesAug 2020 to May 2021
- Arezzo RestaurantMay 2020 to Jun 2020
- Darien YmcaJun 2019 to Jul 2020
- The Woods BarJan 2019 to Oct 2019
- Cny GroupMay 2018 to Aug 2018
- Miami UniversityJan 2018 to May 2020
- Thor Specialties Inc.May 2017 to Jul 2017
- Doctors PediatricJan 2017 to Jan 2017
- Miama UniversityAug 2016 to May 2020
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 1 state (IL).
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
- 7467611
- Firm CRD
- 8174