This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

UBS FINANCIAL SERVICES INC.

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 1, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Feb 7, 2022

First registration

Mar 4, 2022

Dual registered

yes, broker-dealer

Other names

Kathleen Germaine Saba|KATHLEEN SABA

IAPD individual key

7463456

• Occurred

  Apr 8, 2026
  Advisor changed firm

  Kathleen Germain Saba left Principal Advised Services for Ubs Financial Services Inc. (registered 2026-07-30)

  Form ADVobserved 4 days ago
• Occurred

  Jul 13, 2023
  Advisor changed firm

  Kathleen Germain Saba left Vanguard Advisers, Inc. for Principal Advised Services (registered 2025-02-13)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4e073018-9038-5f1b-d982-5cf3f1b67137

First observed

Mar 4, 2022

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.