Ubs Financial Services Inc
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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
Years of Experience
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Ubs Financial Services Inc Brokerage Details
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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.
Ubs Financial Services Inc
Catherine L. Smith has no disclosures.
Please visit their SEC profile for more details.
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