KH
Kathryn Hoy
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CRD#: 1388197
KH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathryn Hoy, who also goes by Kathryn Julie Hoy, Kathryn Julie Hoy-anderson, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1985. Kathryn had worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 5, Series 7, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathryn Julie Hoy | Kathryn Julie Hoy-Anderson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)FINRA / LASALLE CHICAGO, IL / TRADE OR INDUSTRY ASSOCIATION / FINANCIAL (CONSUMER & INVESTMENT SERVICES) / ARBITRATOR / IS THIS AN INDUSTRY SECTOR ORGANIZATION? YES I AM AN ARBITRATOR AND IN THE INDUSTRY / OTHER INDUSTRY ARBITRATOR / INDUSTRY ARBITRATOR / POTENTIAL DEALING WITH UBS? OTHER / START DATE 12/01/2005 / 1 HR PER MONTH
2)NATIONAL FUTURES ASSOCIATION (NFA)/ 300 S RIVERSIDE PLAZA CHICAGO, IL 60606 / FINANCIAL (CONSUMER & INVESTMENT SERVICES)/ DOES THE ORGANIZATION FALL WITHIN YOUR INDUSTRY SECTOR OR MARKET? YES, ARBITRATOR - FUTURES / REGULATORY BODY FOR FUTURES TRADING / ARBITRATOR / START DATE 12/01/2005 / 1 HR PER MONTH.
3)A1 MARINE / ANNANDALE, MN / RETAILER / MARINE STORE - MY HUSBAND IS MAJORITY SHAREHOLDER/OWNER OF THE COMPANY. COMPANY SELLS BOATS, MOTORS, DOCK/LIFT ETC / TREASURER / ANNUAL BOARD MEETINGS AND FINANCIAL OVERSIGHT / START DATE 08/31/2007 / 3 HRS PER MONTH.
4)A1 MARINE / ANNANDALE, MN / RETAILER / MARINE STORE - MY HUSBAND IS MAJORITY SHAREHOLDER/OWNER OF THE COMPANY. COMPANY SELLS BOATS, MOTORS, DOCK/LIFT ETC / MEMBER OF BOARD OF DIRECTORS / ANNUAL BOARD MEETINGS AND FINANCIAL OVERSIGHT / START DATE 03/30/2007 / 1 HRS PER MONTH.
5) KJH Enterprises, LLC / United States / 18145 23rd Ave N, Plymouth, MN 55447 / Company / This is a name change from Hoy Properties which was a rental property that has since been sold. Future activities would be for motivational speaking activities not tied or affiliated with financial services. / Motivational speaking engagements / Investment in Company?: YES; 100% / Start Date 12/30/2019
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 29, 2012 - September 8, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WAYZATA, MN
Past
December 2, 2005 - November 11, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WAYZATA, MN
Past
November 29, 2005 - January 2, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WAYZATA, MN
Past
March 10, 2004 - December 7, 2005
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
March 9, 2004 - December 7, 2005
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
August 26, 1999 - March 11, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 2, 1998 - August 24, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 24, 1985 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 4/6/1988
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 1/1/1973
NYSE Branch Manager ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
