KW
Kathleen C. Williams
Some features on this profile are disabled
CRD#: 5205423
KW
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.
Kathleen C Williams, CFP®, who also goes by Kathleen Fitzgerald Clarke, Katie Williams, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2006. Kathleen had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Fitzgerald Clarke | Katie Williams
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) Kathleen & Anderson Williams / United States / 2905 Eastland Avenue, Nashville, 37206 /Sole proprietorship / Real Estate / Long Term Rental Property / Proprietor / owner / Owner of the property and landlord / Investment in Company?: YES; 50% / Start Date 2/27/2019 /// 2) The Healing Trust / 2928 Sidco DriveNashvilleTN37204 / Public services / Foundation / The mission of The Healing Trust is to support and partner with communities to advance racial equity and eliminate health disparities through advocacy and strategic investments. The Trust's grantmaking policies reflect the belief that organizational performance is greatly enhanced when people with different backgrounds and perspectives are engaged in an organization's activities and decision-making process. Thus, The Trust actively seeks to promote access, equity, and inclusiveness, and to discourage discrimination based on race, creed, ethnicity, gender, age, disability, sexual orientation, socioeconomic status, and other factors that deny the essential humanity of all people. This principle is a lens through which all the work of The Trust is viewed. / In addition to my role as a board member i have also been asked to serve on the Executive Committee as the Secretary / Treasurer. Responsibilities include documenting meeting notes and being available to sign off on any loan documents or official documents and be a backup signer on the bank account (this is if both the organizations President and Vice President were incapacitated. I have been assured that all decisions (financial or monetary) must be approved by a larger committee and then the board before action can be taken, and that I will never be the sole signatory on any checks or other documents. / 7/1/2022 3) Name of business: The Healing Trust./ Address: 2928 Sidco Drive Nashville TN United States 37204./ Investment Related: No./ Nature: Programs include hiring and orientation programs, leadership/employee partner development, mission-related education, community outreach, and programs for seniors. Despite our origins, we are a private, independent foundation and are not affiliated with St. Thomas Health Services or the St. Thomas Health Services Fund./ Role: Member of Board of directors./ Duty: Member of the finance committee and board of directors. I will be a shadow member with no voting or decision making authority for the first 12 months and then an active member of both for the next 24 months. / Start Date: 8/10/2021./ Time Required: N/A.
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®
CFP®
Start date: 2009
Experience
Past
June 30, 2015 - March 31, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NASHVILLE, TN
Past
June 24, 2015 - March 31, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NASHVILLE, TN
Past
June 22, 2009 - June 2, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
NASHVILLE, TN
Past
November 2, 2006 - June 2, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NASHVILLE, TN
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
General Industry/Product Exam
General Industry/Product Exam
Current 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
