Unclaimed Profile

Catherine Ann Newcomb

UBS FINANCIAL SERVICES INC.·WEEHAWKEN, New Jersey

SIE, Series 7, Series 10, Series 24, Series 99TOClean record4 years registeredUBS FINANCIAL SERVICES INC.

1200 HARBOR BOULEVARD, WEEHAWKEN, NJ 07086CRD# 4517197Firm CRD# 8174

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Catherine Ann Newcomb · WEEHAWKEN, NJ

Registration

CRD #4517197 · UBS FINANCIAL SERVICES INC. · 4 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Oct 2021 – Sep 2023

New York, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 10

Series 24

Series 99TO

Registration record

First registered · October 26, 2021

Years registered · 4

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UBS FINANCIAL SERVICES INC.

CRD 8174 · SEC 801-7163

AUM

$702.4B

Regulatory assets under management

Employees

12,701

1,093,486 client accounts

Services offered by UBS FINANCIAL SERVICES INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Educational seminars/workshops

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at UBS FINANCIAL SERVICES INC. →

Introduction

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Frequently Asked Questions

What services does Catherine Ann Newcomb offer?

Catherine Ann Newcomb specializes in Financial Planning, Investment Management, Wealth Management, Financial Education.

What are Catherine Ann Newcomb's credentials?

Catherine Ann Newcomb is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Catherine Ann Newcomb located?

Catherine Ann Newcomb is based in WEEHAWKEN, New Jersey, last registered with UBS FINANCIAL SERVICES INC..

How does Catherine Ann Newcomb charge for services?

Catherine Ann Newcomb's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, other: see schedule d - miscellaneous. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UBS FINANCIAL SERVICES INC.?

UBS FINANCIAL SERVICES INC. has approximately 12701 employees and manages $702.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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