Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Cody Smith is an active registered representative with UBS Financial Services Inc. based in New York, NY. Christopher Cody Smith has a long history in the industry, working in the industry since 2008. Christopher Cody Smith has experience with various financial products and services, including portfolio management for individuals and businesses, financial planning, and pension consulting. Christopher Cody Smith has a wide range of experience, having worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Vanderbilt Securities, LLC before joining UBS Financial Services Inc. Christopher Cody Smith also holds several licenses including Series 7, Series 63, Series 24, Series 3, Series 4, Series 52, Series 53, Series 9, Series 10, Series 65, and Series 99TO.
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
NY
05/27/2022 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
07/16/2019 - 05/08/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/01/2014 - 06/11/2019
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
06/27/2008 - 07/28/2014
VANDERBILT SECURITIES, LLC (WOODBURY NY)
IA
Issued 03/08/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/19/2014
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/19/2011
Series 4 - Registered Options Principal Examination
BC
Issued 01/07/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2014
Series 3 - National Commodity Futures Examination
BC
Issued 06/26/2008
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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