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CATHY LYNN WILLIAMS
CATHY LYNN HARBIN
CRD#: 1098178
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3560 Lenox Road NE
28th floor
ATLANTA, GA 30326
Registration History
1985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2001 - 2009 (8 years)BDB ALEX. BROWN LLC (CRD# 17790)1999 - 2001 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 1999 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1985 - 1999 (13 years)BLEHMAN GOVERNMENT SECURITIES INC. (CRD# 19655)1987 - 1995 (8 years)BLEHMAN SPECIAL SECURITIES INC. (CRD# 7242)1988 - 1994 (5 years)IADEUTSCHE BANK SECURITIES INC. (CRD# 2525)2008 - 2009 (1 year)
License(s)

State Registrations

B
Florida 7/2/2009

B
Ohio 10/31/2024

B
Georgia 5/22/2009

B
South Carolina 7/2/2009

IA
Georgia 5/27/2009

B
Tennessee 7/2/2009

B
Maryland 9/18/2024

B
Texas 7/2/2009

B
New York 7/2/2009

B
Virginia 6/12/2012

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
Locust Grove, GA
Registered with this firm since 5/27/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
Locust Grove, GA
Registered with this firm since 5/22/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/07/2008 - 06/17/2009 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) ATLANTA, GA
B
01/13/2001 - 06/17/2009 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) ATLANTA, GA
B
07/29/1999 - 01/13/2001 DB ALEX. BROWN LLC (CRD#:17790) BALTIMORE, MD
B
05/27/1999 - 07/22/1999 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
08/20/1985 - 02/18/1999 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
07/25/1987 - 10/23/1995 LEHMAN GOVERNMENT SECURITIES INC. (CRD#:19655)
B
11/09/1988 - 07/18/1994 LEHMAN SPECIAL SECURITIES INC. (CRD#:7242)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.