Katherine Klempen
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.Oct 2024 to now
- Charles Schwab & Co., Inc.Jun 2023 to Oct 2024
- Chicago Yacht ClubMay 2022 to Jun 2023
- Full-time EducationSep 2021 to May 2022
- Chicago Yacht ClubMay 2021 to Sep 2021
- Full-time EducationSep 2020 to May 2021
- Chicago Yacht ClubMay 2020 to Sep 2020
- Full-time EducationSep 2019 to May 2020
- Chicago Yacht ClubMay 2019 to Sep 2019
- Full-time EducationAug 2018 to May 2019
- UnemployedJun 2013 to Jul 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2025
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
- 7752929
- Firm CRD
- 8174