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Gerald Smith
40 Years of Experience
Oakbrook Terrace, IL
3 DisclosuresBroker
Gerald Smith is a registered investment advisor at UBS Financial Services INC., based in Oakbrook Terrace, IL, with 40 years of industry experience. Gerald 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
1 Tower Lane-Ste 1700, Oakbrook Terrace Tower, Oakbrook Terrace, IL, 60181
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2004Award / Judgment
Customer Dispute
July 2003Settled
Customer Dispute
September 2002Settled
Employment History
Current Registrations
UBS Financial Services INC.
October 2010 - Present · 16 yrs
UBS Financial Services INC.Broker
October 2010 - Present · 16 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 1989 - October 2010 · 21 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1986 - October 2010 · 24 yrs 6 mos
State Registrations18 states
AZCACOFLGAIAILINKYMIMONYRISCTNTXUTWI
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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