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J Smith

55 Years of Experience
Palm Beach Gardens, FL
5 DisclosuresBroker

J Smith is a registered investment advisor at UBS Financial Services INC., based in Palm Beach Gardens, FL, with 55 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

3801 Pga Blvd., Suite 1000, Palm Beach Gardens, FL, 33410

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History

Regulatory History (5)
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
April 2001
Denied
Customer Dispute
March 1999
Denied
Customer Dispute
May 1996
Settled
Customer Dispute
September 1993
Settled
Customer Dispute
April 1987
Award / Judgment
Other Business Activities

J is an advisor for Trip Caddy LLC, a company providing high-end vacation home rentals. J's role is advisory only and uncompensated.

Employment History
Current Registrations
UBS Financial Services INC.
September 1986 - Present · 39 yrs 8 mos
UBS Financial Services INC.
September 1978 - Present · 47 yrs 8 mos
UBS Financial Services INC.Broker
September 1978 - Present · 47 yrs 8 mos
Previous Registrations
Paine, Webber, Jackson & Curtis IncorporatedBroker
February 1971 - January 1980 · 8 yrs 11 mos
Goodbody & CO. IncorporatedBroker
December 1970 - February 1971 · 2 mos
State Registrations34 states
ALAZCACOCTDCDEFLGAILINKSMAMDMEMNNCNENJNMNVNYOHOKORPARISCTNTXVAVTVirgin IslandsWI
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.