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CD

Cathy A. Desjardins

UBS ASSET MANAGEMENT (AMERICAS) LLC
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 1591293
CD

Professional summary

Cathy Anne Desjardins, CIMA®, who also goes by Cathy Desjardins, Cathy Des Jardins, Cathy Des Jardins Suomela, Cathy Desjardins Suomela, Cathy Suomela, is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Denver, Colorado and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Cathy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cathy Desjardins | Cathy Des Jardins | Cathy Des Jardins Suomela | Cathy Desjardins Suomela | Cathy Suomela

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cathy Anne Desjardins's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Current

August 13, 2009 - Present

UBS ASSET MANAGEMENT (AMERICAS) LLC

Office #1: 370 17th Street , Suite 4100, Denver, CO 80202
RIA
CRD#: 106838
DENVER, CO
Current

October 22, 2002 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 Seventh Avenue, New York, NY 10019
BD
CRD#: 583
New York, NY
Past

November 5, 2002 - December 31, 2008

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
DENVER, CO
Past

April 2, 1999 - October 2, 2002

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

August 12, 1997 - August 4, 1998

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

October 28, 1996 - July 21, 1997

EQUITAS AMERICA, LLC

BD
CRD#: 39806
FARMINGTON HILLS, MI
Past

August 18, 1992 - December 31, 1992

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

December 22, 1987 - September 27, 1990

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

BD
CRD#: 17529
FARMINGTON HILLS, MI
Past

March 25, 1987 - October 27, 1987

MANUFACTURERS HANOVER SECURITIES CORPORATION

BD
CRD#: 14434

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".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(10/5/2018)
RR
Arizona
(10/5/2018)
RR
California
(5/29/2024)
IAR
California
(2/18/2025)
RR
Colorado
(10/22/2002)
IAR
Colorado
(8/13/2009)
RR
Idaho
(2/5/2003)
RR
Montana
(2/5/2003)
RR
Nebraska
(5/29/2024)
RR
Nevada
(2/5/2003)
RR
New Mexico
(5/29/2024)
RR
Oregon
(10/5/2018)
RR
Utah
(10/5/2018)
RR
Washington
(10/5/2018)
RR
Wyoming
(10/5/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/2/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/25/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/2/1987
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC

CRD#: 106838 / SEC#: 801-34910

RIA
Registered Investment Advisory firm - (9/11/1989 Approved)
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Contact information

Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UBS AM (AMERICAS) LLC - UGA FORM ADV PART 2A (7/1/2025)
UBS AM (AMERICAS) LLC - O'CONNOR FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - GRA AMERICAS FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - UBS AM FORM ADV PART 2A (3/31/2025)
UBS AM (AMERICAS) LLC - CIG FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts399,225
AUM (Assets Under Management)$ 542,245,991,275

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report

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.

Company Information

UBS ASSET MANAGEMENT (AMERICAS) LLC

CRD#: 106838Denver, CO 80202

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Contact information

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