Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Newbold Smith is a financial advisor registered with UBS Financial Services Inc. David has been in the industry since 1987, holding active licenses in both Broker-Dealer and Investment Advisor capacities. David has a history of working for Merrill Lynch, Pierce, Fenner & Smith Incorporated prior to UBS Financial Services Inc. David is registered in North Carolina and Texas, and is a licensed securities agent in many other states. David's firm, UBS Financial Services Inc, is headquartered in Weehawken, NJ.
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
NC
04/20/2009 - Present
UBS Financial Services Inc. (WINSTON-SALEM NC)
NC
10/21/1987 - 04/22/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WINSTON-SALEM NC)
BOTH
Issued 07/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1987
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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