Derek Smith, financial advisor Clearwater FL

Derek Smith

CRD Number: 6227684
Current Firm: Ubs Financial Services Inc.

Derek Smith (CRD# 6227684) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Clearwater, FL and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Wealth Management Company Milwaukee, WI Dec 2019 - Current 4
Northwestern Mutual Investment Services LLC Tampa, FL Nov 2019 - Current 4
James Erb Tampa, FL Nov 2019 - Current 4
Unemployed Tampa, FL Jun 2019 - Nov 2019 < 1
Edward Jones St.louis, MO Apr 2017 - Jun 2019 2
Axa Equitable Tampa, FL Sep 2013 - Apr 2017 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2017
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Derek C. Smith
Phone Number: 201-352-3000
Registered State(s):
  • FL
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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