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KATHIE DENISE FORDHAM
KATHIE D FORDHAM, KATHLEEN DENISE FORDHAM
CRD#: 1338523
IA
Investment Adviser
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Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA ST
34TH, 36TH & 46TH FLOORS
SAN FRANCISCO, CA 94104
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2007 (12 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1985 - 1990 (5 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

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Arizona 1/10/2022

B
Nevada 3/17/2020

B
California 11/28/2008

B
Oregon 2/10/2011

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California 12/1/2008

B
Washington 2/10/2011

B
Idaho 1/10/2022

SRO Registrations

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BOX Exchange LLC

B
Cboe Exchange, Inc.

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FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

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Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

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Nasdaq Stock Market

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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)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
San Jose, CA
Registered with this firm since 12/1/2008

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UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
San Jose, CA
Registered with this firm since 11/28/2008

Previous Registration(s)
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04/02/2007 - 12/01/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PALO ALTO, CA
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04/02/2007 - 12/01/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PALO ALTO, CA
IA
11/02/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PALO ALTO, CA
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08/01/1994 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PALO ALTO, CA
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06/21/1985 - 07/23/1990 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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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.