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KIM GEORGETTE CAITO
KIM GEORGETTE SHAFFER
CRD#: 1888870
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 30050 CHAGRIN BOULEVARD
SUITE 200
PEPPER PIKE, OH 44124
Registration History
199019952000200520102015202020252 FIRMS2006 - 2006 (<1 year)2 FIRMS1999 - 2007 (7 years)2 FIRMS2007 - Present (18 years)BKEY INVESTMENTS INC. (CRD# 15873)1995 - 1999 (4 years)BSOCIETY INVESTMENTS, INC. (CRD# 17656)1990 - 1995 (4 years)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1988 - 1990 (1 year)
Disclosure(s)
View By:
3/28/2003
Customer Dispute
Denied
8/12/2002
Customer Dispute
Denied
5/17/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/9/2007

IA
New Jersey 8/31/2023

B
Arizona 2/9/2007

B
New York 2/9/2007

B
California 6/17/2015

B
North Carolina 2/9/2007

B
Colorado 2/10/2007

B
Ohio 2/9/2007

B
Connecticut 10/30/2019

IA
Ohio 12/18/2009

B
Delaware 4/25/2024

B
Oregon 8/18/2017

B
Florida 2/9/2007

B
Pennsylvania 2/9/2007

IA
Florida 2/12/2007

B
South Carolina 2/9/2007

B
Georgia 2/9/2007

B
Tennessee 7/14/2016

B
Hawaii 9/6/2017

IA
Texas 5/11/2011

B
Illinois 2/9/2007

B
Texas 3/21/2017

B
Indiana 1/3/2013

B
Vermont 8/26/2022

B
Kentucky 8/10/2022

B
Virginia 2/13/2015

IA
Maine 9/1/2023

B
West Virginia 3/18/2020

B
Maryland 2/9/2007

B
Wisconsin 7/28/2022

B
Michigan 2/9/2007

B
Wyoming 2/28/2023

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)
30050 CHAGRIN BOULEVARD SUITE 200, PEPPER PIKE, OH 44124
Registered with this firm since 2/12/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
30050 CHAGRIN BOULEVARD SUITE 200, PEPPER PIKE, OH 44124
Registered with this firm since 2/9/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/14/1999 - 02/12/2007 MCDONALD INVESTMENTS INC. (CRD#:566) MENTOR, OH
B
05/14/1999 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) MENTOR, OH
IA
11/20/2006 - 11/28/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) MENTOR, OH
B
11/16/2006 - 11/28/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) MENTOR, OH
B
03/03/1995 - 05/14/1999 KEY INVESTMENTS INC. (CRD#:15873) CLEVELAND, OH
B
06/28/1990 - 03/03/1995 SOCIETY INVESTMENTS, INC. (CRD#:17656)
B
11/23/1988 - 04/16/1990 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
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B
Broker
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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.