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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Marshall Smith is a registered investment advisor with UBS Financial Services Inc. and has been in the financial industry for over 30 years. Alan is licensed to provide investment advice in multiple states and specializes in serving a range of clients, including high net worth individuals, corporations and businesses, charitable organizations, pension plans, and pooled investment vehicles. Prior to joining UBS, Alan was a registered representative with MORGAN STANLEY & CO. INCORPORATED. and MORGAN STANLEY DW INC..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
GA
04/17/2009 - Present
UBS Financial Services Inc. (ALPHARETTA GA)
GA
04/02/2007 - 04/20/2009
MORGAN STANLEY & CO. INCORPORATED (ALPHARETTA GA)
GA
08/05/1986 - 04/02/2007
MORGAN STANLEY DW INC. (ALPHARETTA GA)
IA
Issued 11/21/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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