Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge Smith is an investment advisor with UBS Financial Services Inc. located in Weehawken, NJ. George has been in the industry since February 19, 1992. George is currently registered with UBS Financial Services Inc. and has previous registrations with DEUTSCHE BANK SECURITIES INC., DB ALEX. BROWN LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, and DAIWA SECURITIES AMERICA INC..
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
NJ
01/06/2009 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
01/13/2001 - 07/18/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
04/20/1989 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NY
05/14/1988 - 09/12/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/09/1987 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
07/23/1986 - 07/30/1987
DAIWA SECURITIES AMERICA INC.
BOTH
Issued 11/23/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/2009
Series 24 - General Securities Principal Examination
BC
Issued 05/29/1987
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
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
Not sure George Smith is the right advisor for you? Invested Better is here to help.
