Kathleen Elizabeth Horan
Professional Summary
Kathleen Elizabeth Horan, who also goes by Kathleen Elizabeth Lamela Mrs., is a registered financial advisor currently at UBS FINANCIAL SERVICES INC. located in Weehawken, New Jersey and UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut. Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2007. Kathleen has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen Elizabeth Lamela Mrs.
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Contact Information
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
Contact Information
Main Address
1285 Avenue Of The Americas, New York, NY 10019Mailing Address
1285 Avenue Of The Americas, New York, NY 10019Phone Number
(212) 821-3000Established
Delaware since 05/05/1977Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/1/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kathleen Elizabeth Horan's CRS (Customer Relationship Summary).
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