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Steven Smith
43 Years of Experience
Newport Beach, CA
1 DisclosureBroker
Steven Smith is a registered investment advisor at UBS Financial Services INC., based in Newport Beach, CA, with 43 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
888 San Clemente Drive, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
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Customer Dispute
October 2002Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
August 2016 - Present · 10 yrs 2 mos
UBS Financial Services INC.
August 2016 - Present · 10 yrs 2 mos
UBS Financial Services INC.Broker
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 1994 - August 2016 · 22 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1984 - August 2016 · 32 yrs 5 mos
First Dominion Financial Services, INC.Broker
August 1983 - July 1984 · 11 mos
State Registrations27 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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