Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gerald? Claim Your ProfileGerald Smith is a financial advisor with UBS Financial Services Inc. Gerald has over 37 years of experience in the financial services industry. Gerald is licensed to offer securities in Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Michigan, Missouri, Nevada, New York, North Carolina, Ohio, South Carolina, Tennessee, Texas, Utah, and Wisconsin. Gerald holds the following licenses: Series 7, Series 31, Series 63, Series 65 and SIE. Gerald has a special focus on individuals, other investment advisers, insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and state or municipal government entities.
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
IL
11/01/2010 - Present
UBS Financial Services Inc. (OAKBROOK TERRACE IL)
IL
04/25/1986 - 10/26/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCHAUMBURG IL)
IA
Issued 08/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/1986
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
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