Lori Smith, financial advisor Winston Salem NC
93 score

Lori Smith

CRD Number: 3042003
Current Firm: Ubs Financial Services Inc.

Lori Smith (CRD# 3042003) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Winston Salem, NC and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Winston-salem, NC Jan 2014 - Current 2
Bb&t Securities, LLC Winston-salem, NC Jan 2013 - Nov 2013 < 1
Scott & Stringfellow Winston-salem, NC Jun 2011 - Jan 2013 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greensboro, NC Sep 1997 - May 2011 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1998
S66 NASAA Uniform Combined State Law Examination May 2001
Contact Info for Lori S. Smith
Phone Number: 201-352-3000
Registered State(s):
  • NC
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
93
Clean Record
This advisor has a clean track record with regulators.

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