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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Scott Smith is a financial advisor with over 27 years of experience in the industry. Gregory Smith is currently registered with UBS Financial Services Inc. and is licensed to offer securities and advisory services in several states. Gregory Smith has previously held positions at Morgan Stanley and Citigroup Global Markets Inc. Gregory Scott Smith holds Series 7, 31 and 63 securities licenses and a Series 65 investment advisor license. Gregory Scott Smith offers financial planning, investment management, and pension consulting services to individual and institutional 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
CA
03/03/2020 - Present
UBS Financial Services Inc. (SAN JOSE CA)
CA
06/01/2009 - 01/27/2020
MORGAN STANLEY (SAN JOSE CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
NY
06/10/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 06/30/1993
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/18/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 06/09/1993
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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