Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Eugene Smith is a financial advisor registered with UBS Financial Services Inc. Michael has been in the securities industry for over 20 years. He has a variety of licenses, including Series 7, 9, 10, 24, 63, 66, and SIE. Michael has experience working with individual investors, corporations, and institutions. Michael is a published author and is passionate about writing fantasy novels in his spare time.
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
TX
12/16/2022 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
10/04/2019 - 08/31/2022
J.P. MORGAN SECURITIES LLC (Houston TX)
TX
10/26/2011 - 05/14/2019
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
12/22/2010 - 08/23/2011
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
UT
03/03/2006 - 04/26/2010
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
RI
01/24/2001 - 12/31/2004
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
10/30/1998 - 01/24/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 12/16/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/25/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/14/2017
Series 24 - General Securities Principal Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1998
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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