Catherine L.

Ubs Financial Services Inc

Investment Advisor
in Portland, ME

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About this Advisor

Catherine L. Smith is a financial advisor whose office is in Portland, Maine. Currently a registered financial advisor at Ubs Financial Services Inc, they have accrued nine years of professional experience. Smith holds a Series 66 license, designating the advisor as both a securities agent and an investment advisor representative. Smith is registered to advise investors based out of Maine and New Hampshire. Smith has spent their career at Ubs Financial Services Inc. Ubs Financial Services Inc is based out of Portland, Maine, and has 369 additional offices across the nation. In total, Ubs Financial Services Inc manages $496 billion in assets covering 957,738 client accounts and retains more than 13,335 people. The level of assets currently under the firm's management makes it one of the biggest investment advisory firms in the country. The firm manages 500,077 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 56% of the advisor firm's investors are high-net-worth individuals, meaning they have more than $1 million in capital. Ubs Financial Services Inc can offer financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. The firm may charge clients asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 66

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others



Office Location

One City Center 7Th Floor
Portland, ME 04101

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management


ME Average: $10,121,009,343
Total Number of Employees


ME Average: 92
Total Number of Accounts


ME Average: 6,978
Average Account Size


ME Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Catherine L. Smith Work History

Catherine L. has 10 years of experience.

2010 - Present (10 years)

Ubs Financial Services Inc


Catherine L. Smith has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Danyi Gu
San Francisco, CA
John Dunahoo
Franklin, TN
John Lindgren
New York, NY
Amanda Evans
Houston, TX
Eric Ayarzagoitia Trevino
San Antonio, TX
Brian Proppe
Hartford, CT
Magda Malinowski
Chicago, IL

This content was compiled from the SEC and FINRA.

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