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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Joseph Smith is a financial advisor with UBS Financial Services Inc. Frederick Joseph Smith has over 40 years of experience in the financial services industry. Frederick Joseph Smith is registered in 14 states and the District of Columbia. Frederick Joseph Smith is also registered as an investment advisor in New York. Frederick Joseph Smith has passed the Series 7, 15, 63, 65, and SIE exams. Frederick Joseph Smith specializes in providing financial planning, portfolio management, and investment advice to individuals, families, businesses, and institutions.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/05/1981 - 02/11/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 06/17/1978
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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