Cathy Anne Desjardins
Investment Adviser Representative at UBS Asset Management (Americas) LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Cathy Anne Desjardins is an investment adviser representative with UBS Asset Management (Americas) LLC in Denver, CO, where they have been registered since 2009. They have worked in the securities industry since 1993 and were previously registered with UBS Global Asset Management (US) Inc. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California and Colorado.
Registrations & licenses
- Investment adviser:
- California, Colorado
- Broker:
13 states and territories
Alaska, Arizona, California, Colorado, Idaho, Montana, Nebraska, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UBS Global Asset Management (US) Inc.Sep 2002 – no end date reportedDenver, CO
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UBS Asset Management (Americas) LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 33
- Offices listed on AdvisorFinder:
- 16
- Main office:
- New York, NY
- SEC file number:
- 801-34910
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 31, 2026
View full firm profileOther advisors at UBS Asset Management (Americas) LLC
Showing 12 of 33 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cathy Anne Desjardins has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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