Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allison? Claim Your ProfileAllison Smoot is a financial advisor with UBS Financial Services Inc. Allison has been in the financial industry since 1986, and has experience working for a variety of firms, including Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Allison is registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative and Investment Adviser Representative. Allison holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE license.
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
UT
01/20/2012 - Present
UBS Financial Services Inc. (SALT LAKE CITY UT)
UT
06/01/2009 - 01/19/2012
MORGAN STANLEY SMITH BARNEY (SALT LAKE CITY UT)
UT
02/18/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SALT LAKE CITY UT)
NY
11/21/1986 - 04/07/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/05/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1986
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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