Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid J. Smith is a financial advisor with UBS Financial Services Inc. based in Chicago, Illinois. David has been in the financial services industry since 1983. David is registered with the state of Illinois as a Registered Representative and Investment Advisor Representative. In addition to his current employment with UBS, David has held previous roles with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David specializes in portfolio management for individuals, businesses, and investment companies. David also provides financial planning and educational seminars.
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
IL
09/25/2008 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
04/02/2007 - 10/06/2008
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
IL
08/09/1984 - 04/02/2007
MORGAN STANLEY DW INC. (CHICAGO IL)
NA
08/24/1983 - 07/06/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 01/26/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1983
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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