Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Alan Smith is a financial advisor currently registered with UBS Financial Services Inc. Christopher has been in the industry since April 2003. Christopher is registered with GA and TX. Prior to working at UBS Financial Services Inc., Christopher was employed at MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC. Christopher has 27 state registrations. Christopher holds the following licenses: Series 66, Series 31, Series 7 and SIE. Christopher has a total of 10 approved SRO Registrations and 1 approved FINRA Registration.
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
04/04/2003 - 04/02/2007
MORGAN STANLEY DW INC. (ALPHARETTA GA)
BOTH
Issued 04/30/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/2003
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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