Steven Smith, financial advisor Newport Beach CA

Steven Smith

CRD Number: 1160248
Current Firm: Ubs Financial Services Inc.

Steven Smith (CRD# 1160248) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Newport Beach, CA and has over 39 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Newport Beach, CA Aug 2016 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Ana, CA Nov 1983 - Aug 2016 32
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Steven L. Smith
Phone Number: 201-352-3000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    600,809
    MILLIONS
  • Total Number of Accounts
    1,077,471
    ACCOUNTS
  • Average Account Value
    $557,610
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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