Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashley? Claim Your ProfileAshley Smith is a financial advisor currently registered with UBS Financial Services Inc. Ashley Smith has over 20 years of experience in the financial services industry, having previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, and Citigroup Global Markets Inc. Ashley Smith has a strong track record of helping clients achieve their financial goals. Ashley Smith is a licensed Series 7 and Series 66 representative. Ashley Smith is also registered in several states to provide investment advisory services.
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
OK
10/08/2019 - Present
UBS Financial Services Inc. (Oklahoma City OK)
OK
07/22/2011 - 12/26/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OKLAHOMA CITY OK)
OK
05/23/2005 - 07/15/2011
WELLS FARGO ADVISORS, LLC (OKLAHOMA CITY OK)
NY
06/08/2001 - 05/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/27/1997 - 06/07/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/30/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1997
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
Not sure Ashley Smith is the right advisor for you? Invested Better is here to help.
