Tyler Smith, financial advisor Newport Beach CA
88 score

Tyler Smith

CRD Number: 6377290
Current Firm: Ubs Financial Services Inc.

Tyler Smith (CRD# 6377290) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Newport Beach, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Newport Beach, CA Aug 2014 - Current 2
Labaton Sucharow LLC New York, NY Sep 2012 - Jul 2014 1
Ucla Los Angeles, CA Sep 2008 - Aug 2012 3
Bragg Crane Long Beach, CA Jun 2011 - Aug 2011 < 1
Labaton Sucharow LLC New York, NY Jun 2010 - Aug 2010 < 1
Southwestern Company Nashville, TN Jun 2009 - Aug 2009 < 1
Law Offices Of Robert Wheatley Tustin, CA Jun 2008 - Aug 2008 < 1
None Irvine, CA Aug 2004 - May 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2014
Contact Info for Tyler Smith
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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