Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Smith is a financial advisor with UBS Financial Services Inc. located in PHOENIX, AZ. Patricia has been in the industry since 1981. Patricia is registered with FINRA and several states.
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
AZ
07/20/2006 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
07/01/2003 - 07/20/2006
WACHOVIA SECURITIES, LLC (SURPRISE AZ)
NY
05/16/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/05/1994 - 05/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
10/18/1983 - 06/29/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/10/1983 - 10/25/1983
BOETTCHER & COMPANY
NA
03/01/1982 - 01/25/1983
SWINK & COMPANY, INC.
NA
03/01/1982 - 03/28/1982
SWINK & COMPANY, INC.
NA
02/02/1977 - 08/08/1977
J. MILTON NEWTON, INCORPORATED
IA
Issued 12/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/1983
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1982
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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