Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Russell? Claim Your ProfileRussell Raymond Smith is an investment advisor representative associated with UBS Financial Services Inc. Russell Raymond Smith has been in the securities industry since May 1998. Russell Raymond Smith holds the following licenses and certifications: Series 3, Series 7, Series 9, Series 10, Series 15, Series 63, Series 65, Series 66, and the SIE. Russell Raymond Smith has been registered with UBS Financial Services Inc. since June 2011. Russell Raymond Smith has previously been employed by WELLS FARGO ADVISORS, LLC and PRUDENTIAL SECURITIES INCORPORATED. Russell Raymond Smith is registered to provide investment advice in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin.
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
MA
05/15/2018 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
07/01/2003 - 06/03/2011
WELLS FARGO ADVISORS, LLC (NORWELL MA)
NY
05/14/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 05/15/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/29/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1998
Series 3 - National Commodity Futures Examination
BC
Issued 06/10/1998
Series 15 - Foreign Currency Options Examination
BC
Issued 05/11/1998
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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