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Jodi Anne Smith

UBS Asset Management (us) Inc.

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About Jodi Anne Smith

Jodi Anne Smith is a registered representative with UBS Asset Management (us) Inc. in New York, NY. Jodi has been in the industry since 2003 and has experience working at several firms including BANC of America Securities LLC, BISHOP, ROSEN & CO., INC., SEIDEL & SHAW LLC and CIBC WORLD MARKETS CORP. Jodi holds Series 7, SIE and Series 63 licenses.

Firm Information

Jodi Smith is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Jodi Smith’s Registration & Firm History

NY

08/18/2009 - Present

UBS Asset Management (us) Inc. (NEW YORK NY)

NY

12/05/2005 - 06/08/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/04/2005 - 05/16/2005

BISHOP, ROSEN & CO., INC. (NEW YORK NY)

NY

06/23/2003 - 11/05/2004

SEIDEL & SHAW LLC (NEW YORK NY)

NY

11/15/2002 - 06/16/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/30/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jodi Anne Smith.
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