Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gary? Claim Your ProfileGary D. Smith is a financial advisor with UBS Financial Services Inc. Gary has been in the financial industry since January 20, 1986. Gary holds a Series 7, Series 63, and Series 65 licenses and has been registered with the state of Missouri since May 8, 2009, and Kansas since August 23, 2023. Gary also holds an active registration in Texas. Gary provides portfolio management, financial planning and other advisory services for high-net-worth individuals, corporations and other businesses, insurance companies, pension and profit-sharing plans, charitable organizations, state or municipal government entities, and other clients.
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
MO
12/14/2009 - Present
UBS Financial Services Inc. (Kansas City MO)
MO
07/21/1995 - 05/08/2009
WACHOVIA SECURITIES, LLC (KANSAS CITY MO)
MO
07/27/1990 - 07/21/1995
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
07/11/1986 - 08/02/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
01/21/1986 - 07/24/1986
CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.
IA
Issued 12/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/1986
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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