Individual Firm
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KATHERINE EDELEN ROBINSON
Katherine Edelen English Ms., Katherine Edelen English, Katherine English
CRD#: 6829653
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 Fairview Road
9th Floor
CHARLOTTE, NC 28277
9th Floor
CHARLOTTE, NC 28277
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Disclosures
7
Years of Experience
View By:
State Registrations
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Alabama 7/27/2022
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Michigan 7/27/2022
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Arizona 4/17/2024
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New Jersey 7/27/2022
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California 7/27/2022
B
New Mexico 7/27/2022
B
Colorado 7/27/2022
B
New York 7/27/2022
B
Connecticut 7/27/2022
B
North Carolina 7/18/2022
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District of Columbia 7/27/2022
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North Carolina 7/18/2022
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Florida 7/27/2022
B
Ohio 7/27/2022
B
Georgia 7/27/2022
B
Pennsylvania 7/27/2022
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Illinois 7/27/2022
B
South Carolina 7/27/2022
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Kentucky 7/27/2022
B
Tennessee 7/27/2022
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Louisiana 7/27/2022
B
Texas 7/27/2022
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Maryland 7/27/2022
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Virginia 7/27/2022
B
Massachusetts 7/27/2022
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Washington 12/7/2023
SRO Registrations
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IA
Registered with this firm since 7/18/2022
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Registered with this firm since 7/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/09/2019 - 06/20/2022 | CHARLOTTE, NC | |
B | 02/15/2019 - 06/20/2022 | CHARLOTTE, NC | |
B | 08/14/2017 - 02/21/2019 | CHARLOTTE, NC |
CHARLOTTE, NC
10/09/2019 - 06/20/2022
CHARLOTTE, NC
02/15/2019 - 06/20/2022
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.