KW
Kathryn B. Wysong
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CRD#: 6860880
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.
Kathryn Brown Wysong, who also goes by Kathryn Paige Brown, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2018. Kathryn had worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathryn Paige Brown
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) HM PROPERTIES; 6857 Fairview Rd, Charlotte, NC 28210; Sell real estate; Other; Former employee; None; 10/23/2017; Business hours per month: No /// 2) WYSONG LAW, PLLC; 1441 Ashcraft Ln, Apt. F, Charlotte, NC 28209; This is the entity I practiced law under from 9/9/11 to 9/1/14. It is still on record as an entity and I am still the sole member-manager, however, I am no longer practicing law; Proprietor/owner; None. I practiced law under the entity from 9/9/11 to 9/1/14. The entity is merely open even though I am no longer practicing law under the umbrella of the entity.; 9/9/2011; Business hours per month: No /// 3) Foundation For the Carolinas / 220 N Tryon Street Charlotte NC 28202 / Taken from the about us page- Foundation For The Carolinas serves as a catalyst for philanthropic activity in our 13-county region and is a driver for major civic efforts. We offer innovative solutions that help individuals, nonprofits and companies bring their charitable visions to life. Established in 1958, we are a civic leader and philanthropic partner. With more than $3 billion in charitable assets across nearly 3,000 charitable funds established by families, nonprofits and businesses, we are one of the largest community foundations in the U.S. FFTC supports personal and corporate philanthropy through a range of innovative fund and giving options. We also drive nonprofit sustainability through endowment management, customized solutions and grantmaking. Our flagship program, the Robinson Center for Civic Leadership, is actively addressing the community's most pressing challenges and greatest opportunities, from economic opportunity to neighborhood revitalization to education and more. FFTC is headquartered in the Luski-Gorelick Center for Philanthropy. With art throughout and multiple conference rooms available at no charge to area nonprofits, our home serves as a civic hub for our community. / Cabinet of Professional Advisors (sometimes referred to by our team as the ""PA Cabinet"") is a group of ~45 attorneys, accountants, financial advisors, insurance representatives and other professional advisors from the region who have been selected based on a number of factors including their experience and knowledge in their field, their reputation in the community, and their relationship with FFTC. Cabinet members serve a three-year term and we are scheduled to have 4 meetings each year, typically all at FFTC's offices. / 2/16/2022 /// 4) Not applicable. / I am teaching tennis as an individual. No entity involved. / Teach tennis
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
May 31, 2018 - August 18, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
February 6, 2018 - August 18, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
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
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)
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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.
