Kathleen E. Horan
Professional summary
Kathleen Elizabeth Horan, who also goes by Kathleen Elizabeth Lamela Mrs., is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Elizabeth Horan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2010 - Present
UBS FINANCIAL SERVICES INC.
Office #1: Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086March 24, 2017 - Present
UBS FUND SERVICES (USA) LLC
Office #1: 10 State House Square 12th Floor, Hartford, CT 06103March 24, 2017 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 7th Avenue, New York, NY 10019August 27, 2007 - January 1, 2010
UBS SERVICES USA LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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