Cathleen
Brennan

Ubs Financial Services Inc

CRD#2557920
Investment Advisor
in Peabody, MA

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About this Advisor

Cathleen Brennan is an investment advisor based in Peabody, Massachusetts. Currently an investment advisor with Ubs Financial Services Inc, they have accrued 12 years of experience in the financial advisory industry. Brennan maintains Series 63 and Series 65 licenses, designating the advisor as both a securities agent and an investment advisor representative. Brennan is registered to serve investors based out of Connecticut, Texas and New Hampshire. Brennan has gained experience at Century 21, Banc Of America Investment Services, Inc, Merrill Lynch, Pierce, Fenner & Smith Inc and Ubs Financial Services Inc. Ubs Financial Services Inc is headquartered in Peabody, Massachusetts, and has 369 offices in the country. In aggregate, Ubs Financial Services Inc manages $496 billion in assets across 922,927 client accounts and employs more than 13,402 people. The level of assets currently under the firm's management places it among the biggest investment advisory firms in the nation. The firm manages 453,419 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 52% of the advisory firm's investors are high-net-worth individuals, meaning they have more than $1 million in investable assets. Ubs Financial Services Inc offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. The firm's fees may include asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

12 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

8 Essex Center Drive 2Nd Floor
Peabody, MA 01960

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

MA Average: $10,121,009,343
Total Number of Employees

13,335

MA Average: 92
Total Number of Accounts

957,738

MA Average: 6,978
Average Account Size

$517,923

MA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Cathleen Brennan Work History

Cathleen has 12 years of experience.

2013 - Present (6 years)

Ubs Financial Services Inc

2009 - 2013 (4 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2007 - 2009 (2 years)

Banc Of America Investment Services, Inc

2006 - 2009 (3 years)

Century 21

Disclosures

Cathleen Brennan has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Debra Noble
Weehawken, NJ
Patrick Harrington
Weehawken, NJ
Micaela Murphy
La Jolla, CA
Kory Frost
Farmington, MI
Felicia Chang
Pasadena, CA
Chester Wang
Boulder, CO
Juliana Trovato
Florham Park, NJ
Brent Barnhart
Birmingham, MI

This content was compiled from the SEC and FINRA.

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