Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Sumner Smith is a financial advisor with over 40 years of experience in the industry. Charles is currently registered with UBS Financial Services Inc. in Phoenix, Arizona. Previously, Charles was registered with Wachovia Securities, LLC, Prudential Securities Incorporated, and UBS PaineWebber Inc. Charles has held various licenses and registrations, including Series 7, 63, 24, and SIE exams. Charles specializes in serving high-net-worth individuals, corporations, and charitable organizations.
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
AZ
07/20/2006 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
07/01/2003 - 07/20/2006
WACHOVIA SECURITIES, LLC (SURPRISE AZ)
NY
05/15/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/02/1994 - 05/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
10/18/1983 - 07/12/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/10/1983 - 10/25/1983
BOETTCHER & COMPANY
NA
04/12/1976 - 10/01/1983
J. MILTON NEWTON, INCORPORATED
NA
02/26/1981 - 01/25/1983
SWINK & COMPANY, INC.
IA
Issued 03/30/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/1983
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1982
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 Charles Smith is the right advisor for you? Invested Better is here to help.
