linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Emerson David Smith

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Emerson? Claim Your Profile

About Emerson David Smith

Emerson David Smith is a registered representative with UBS Securities LLC. Emerson David Smith has passed the Series 79TO and SIE exams. Emerson David Smith is currently registered with FINRA. Emerson David Smith joined UBS Securities LLC in March 2024. Emerson David Smith's current registration began in March 2024.

Firm Information

Emerson Smith is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Emerson Smith’s Registration & Firm History

NY

03/12/2024 - Present

UBS Securities LLC (New York NY)

Not sure if Emerson David Smith is right for you?

Licenses & Designations

BC

Issued 03/12/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 12/27/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Emerson David Smith.
Not sure if Emerson David Smith is right for you?