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Mike Smith

31 Years of Experience
Weehawken, NJ
1 DisclosureBroker

Mike Smith is a registered investment advisor at UBS Financial Services INC., based in Weehawken, NJ, with 31 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1000 & 1200 Harbor Boulevard, Weehawken, NJ, 07086

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History

Regulatory History (1)
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Regulatory
January 2009
Final
Employment History
Current Registrations
UBS Financial Services INC.
November 2023 - Present · 2 yrs 6 mos
UBS Financial Services INC.
October 2023 - Present · 2 yrs 7 mos
UBS Financial Services INC.Broker
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
Rockefeller Capital Management
October 2022 - October 2023 · 1 yr
Rockefeller Financial LLCBroker
October 2022 - October 2023 · 1 yr
UBS Financial Services INC.
July 2006 - October 2022 · 16 yrs 3 mos
UBS Financial Services INC.Broker
July 2006 - October 2022 · 16 yrs 3 mos
Morgan Stanley
July 2002 - July 2006 · 4 yrs
Morgan Stanley Dw INC.Broker
April 2000 - July 2006 · 6 yrs 3 mos
First Montauk Securities CORP.Broker
September 1999 - April 2000 · 7 mos
Dean Witter Reynolds INC.Broker
December 1994 - September 1999 · 4 yrs 9 mos
State Registrations8 states
CTMENHNJNYPARIVT
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.