Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel J Smith is a financial advisor with UBS Financial Services Inc. Daniel has been in the financial services industry since March 19, 2002. Daniel has a Series 6, 7, 24, 55, 63, and 65 license. Daniel J Smith has been registered with UBS Financial Services Inc since February 2009. Prior to joining UBS Financial Services Inc, Daniel worked at SANFORD C. BERNSTEIN & CO., LLC, COMMONWEALTH FINANCIAL NETWORK, and PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP. Daniel J Smith holds a Series 65 license, which permits him to provide investment advice to clients in the state of Maine. Daniel also has a Series 63 license, which permits him to sell securities in the state of Maine. Daniel has a Series 24 license, which permits him to act as a principal for a broker-dealer. Daniel also has a Series 55 license, which permits him to act as a limited representative-equity trader. Daniel also has a Series 7 license, which permits him to act as a general securities representative. Daniel also has a Series 6 license, which permits him to act as an investment company products/variable contracts representative.
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
ME
05/02/2011 - Present
UBS Financial Services Inc. (YORK ME)
MA
07/20/2004 - 02/23/2009
SANFORD C. BERNSTEIN & CO., LLC (BOSTON MA)
MA
05/07/2003 - 07/07/2004
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
MA
03/01/2002 - 04/29/2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
IA
Issued 07/30/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/31/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/08/2003
Series 7 - General Securities Representative Examination
BC
Issued 02/28/2002
Series 6 - Investment Company Products/Variable Contracts 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 Daniel Smith is the right advisor for you? Invested Better is here to help.
