Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mike? Claim Your ProfileMike Francis Smith is an investment advisor representative with over 28 years of experience in the financial industry. Mike is currently registered with UBS Financial Services Inc. Mike's areas of expertise include portfolio management for individuals and businesses, financial planning, pension consulting and educational seminars. Mike has a strong background in the financial industry and is dedicated to helping clients achieve their financial goals.
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
NJ
11/14/2023 - Present
UBS Financial Services Inc. (Aberdeen NJ)
NJ
10/25/2022 - 10/13/2023
ROCKEFELLER FINANCIAL LLC (HAMILTON NJ)
NJ
07/26/2006 - 10/27/2022
UBS FINANCIAL SERVICES INC. (RED BANK NJ)
NJ
04/13/2000 - 07/20/2006
MORGAN STANLEY DW INC. (RED BANK NJ)
NJ
09/07/1999 - 04/11/2000
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
NY
12/16/1994 - 09/22/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/30/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/23/1999
Series 4 - Registered Options Principal Examination
BC
Issued 01/04/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 12/15/1994
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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