Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek C. Smith is a financial advisor with UBS Financial Services Inc., a large financial firm with over $700 billion in assets under management. Derek has been in the financial services industry for over 10 years, and has experience working for a variety of firms including Edward Jones and AXA Advisors, LLC. Derek holds Series 6, 7 and 66 securities licenses, as well as a Securities Industry Essentials (SIE) license. Derek focuses on providing financial planning and investment advice to individuals, families, and businesses. Derek works with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
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
FL
11/18/2021 - Present
UBS Financial Services Inc. (CLEARWATER FL)
FL
12/09/2019 - 11/18/2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Tampa FL)
FL
05/11/2017 - 06/04/2019
EDWARD JONES (ST PETERSBURG FL)
FL
09/26/2013 - 04/14/2017
AXA ADVISORS, LLC (TAMPA FL)
BOTH
Issued 06/11/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/25/2013
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
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