Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you J? Claim Your ProfileJ. Thomas Smith is an investment advisor representative with UBS Financial Services Inc., working from the firm's Palm Beach Gardens, FL office. J. Thomas Smith has been in the financial industry since 1970 and has been registered with FINRA since 1971. J. Thomas Smith has experience with a broad range of financial products and services, including equities, options, municipal securities, and fixed income. J. Thomas Smith holds licenses and registrations for both securities and investment advisory services in multiple states. J. Thomas Smith is also a principal with UBS Financial Services 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
FL
11/01/2006 - Present
UBS Financial Services Inc. (PALM BEACH GARDENS FL)
NA
02/01/1971 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
12/23/1970 - 02/18/1971
GOODBODY & CO. INCORPORATED
IA
Issued 1/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 24 - General Securities Principal Examination
BC
Issued 8/26/1977
Series 4 - Registered Options Principal Examination
BC
Issued 10/23/1976
Series 40 - Registered Principal Examination
BC
Issued 10/9/1971
Series 12 - NYSE Branch Manager Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 7/10/1967
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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