Katie MazzoccoCRD Number: 5990906
Current Firm: Ubs Financial Services Inc.
Katie Mazzocco (CRD# 5990906) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Los Angeles, CA and has over 6 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|Ubs||Los Angeles, CA||Oct 2011 - Current||6|
|West Coast Asset Management||Montecito, CA||Jun 2007 - Oct 2011||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Feb 2012|
Total Assets Under Management391,710MILLIONS
Total Number of Accounts885,967ACCOUNTS
Average Account Value$442,127
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV