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Detailed Report
KATHERINE KINGSBURY BALDT WOODBURY
KATE KINGSBURY BALDT, Katherine Kingsbury Baldt
CRD#: 4568701
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1985 EASTWOOD ROAD
WILMINGTON, NC 28403
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BGOLDMAN, SACHS & CO. (CRD# 361)2002 - 2010 (7 years)
Disclosure(s)
View By:
8/5/2010
Employment Separation After Allegations
License(s)

State Registrations

B
California 9/29/2020
B
New York 10/3/2020
B
Colorado 9/22/2021
B
North Carolina 12/4/2019
B
District of Columbia 10/1/2020
IA
North Carolina 12/5/2019
B
Florida 9/30/2020
B
Ohio 9/29/2020
B
Illinois 11/19/2020
B
Pennsylvania 9/23/2020
B
Indiana 10/1/2020
B
South Carolina 10/6/2020
B
Maine 10/2/2020
B
Tennessee 9/30/2020
B
Maryland 9/29/2020
B
Texas 9/29/2020
B
Massachusetts 9/30/2020
IA
Texas 10/5/2020
B
Michigan 10/1/2020
B
Virginia 9/30/2020
B
New Jersey 9/29/2020
B
Washington 9/29/2020
B
New Mexico 8/18/2021

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

View Exams Passed by the individual in the detailed report

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)
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 12/5/2019
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1985 EASTWOOD ROAD, WILMINGTON, NC 28403
Registered with this firm since 10/29/2019
Previous Registration(s)
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B
 10/02/2002 - 09/03/2010 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.