KF
KF

Katherine Farnham

32 Years of Experience
Newport, RI
Broker

Katherine Farnham is a registered investment advisor at UBS Financial Services INC., based in Newport, RI, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

130 Bellevue Avenue, Suite 301, Newport, RI, 02840

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
UBS Financial Services INC.
October 2008 - Present · 17 yrs 7 mos
UBS Financial Services INC.Broker
October 2008 - Present · 17 yrs 7 mos
Previous Registrations
Wachovia Securities, LLC
April 2004 - November 2008 · 4 yrs 7 mos
Wachovia Securities, LLCBroker
March 2004 - November 2008 · 4 yrs 8 mos
Citigroup Global Markets INC.
March 2002 - July 2003 · 1 yr 4 mos
Citigroup Global Markets INC.Broker
March 2002 - July 2003 · 1 yr 4 mos
Dean Witter Reynolds INC.Broker
April 2000 - September 2000 · 5 mos
Copeland Equities, INC.Broker
November 1998 - February 2000 · 1 yr 3 mos
Drake Securities CORP.Broker
October 1993 - November 1998 · 5 yrs 1 mo
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 1992 - November 1993 · 1 yr 9 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
February 1991 - February 1992 · 1 yr
State Registrations14 states
AZCACOCTDCFLMAMDNJNYPRRISCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Katherine Farnham - Financial Advisor | TrueAdvisor