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Scott Richard Smith

UBS Financial Services Inc.

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About Scott Richard Smith

Scott Richard Smith is a financial advisor with over 30 years of experience in the industry. Scott has been registered with UBS Financial Services Inc. since 1995, prior to which Scott was with KIDDER, PEABODY & CO. INCORPORATED. Scott holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE exam. Scott is registered with the state of Pennsylvania.

Firm Information

Scott Smith is currently registered with UBS Financial Services Inc.. UBS Financial Services Inc. is a corporation formed on June 30, 1969, headquartered in Weehawken, NJ. With over $50 billion in assets under management, the firm provides a range of advisory services, including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals. The firm has over 6,000 licensed agents, 9,000 investment advisor representatives, and 11,000 registered representatives, serving a diverse clientele including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. UBS Financial Services Inc. is registered with the SEC and in all 50 states and Puerto Rico.
UBS Financial Services Inc.

1200 HARBOR BOULEVARD

WEEHAWKEN, NJ 07086

$702.39B

Assets Under Management

21,125

Total Clients

10,299

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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Scott Smith’s Registration & Firm History

PA

01/28/1995 - Present

UBS Financial Services Inc. (CONSHOHOCKEN PA)

NY

02/14/1989 - 01/28/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/08/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/24/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott Richard Smith.
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