Cathleen
Brennan

Ubs Financial Services Inc

CRD#2557920
Investment Advisor
in Peabody, MA

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About this Advisor

Cathleen Brennan is a financial advisor based in Peabody, Massachusetts, with a total of 10 years of financial industry experience. Brennan is an advisor for Ubs Financial Services Inc. Throughout their career, Brennan has worked at Merrill Lynch, Pierce, Fenner & Smith Inc and Ubs Financial Services Inc. Brennan has Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to operate in Connecticut, New Hampshire and Texas. Ubs Financial Services Inc is a registered investment business that has its headquarters in Peabody, Massachusetts. The company has offices in 369 locations and a total of 13,335 financial advisors. It oversees $496 billion in assets under management between its 957,738 client accounts, placing it among the biggest investment advisory firms in the country by assets under management. The firm advises 4,771 charities and foundations. Of its 957,738 client accounts, 56% are associated with high-net-worth individuals who have at least $1 million in assets available to invest. Ubs Financial Services Inc has a broad range of services, such as 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. Fees for financial management usually depend on which service is offered. However, fees charged by Ubs Financial Services Inc most likely include asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 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 11 years of experience.

2013 - Present (7 years)

Ubs Financial Services Inc

2009 - 2013 (4 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

Cathleen Brennan has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Ian Deluke
Rochester, NY
Christopher Albanese
Weehawken, NJ
Evan Bloomberg
Short Hills, NJ
Catherine L. Smith
Portland, ME
Kimberly Sampson
Fort Lauderdale, FL
Samantha Hodgkins
Boston, MA
Thomas Carney
New York, NY
Jordan Winterfeld
Houston, TX

This content was compiled from the SEC and FINRA.

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