Marc Smith
Investment Adviser Representative at UBS Financial Services Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Marc Smith is an investment adviser representative with UBS Financial Services Inc. in Boston, MA, where they have been registered since 2024, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 108
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
21 states and territories
California, Colorado, Florida, Georgia, Illinois, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UBS Financial ServicesDec 2023 – no end date reportedBoston, MA
- aNinjaAug 2023 – Nov 2023Boston, MA
- UBS Financial ServicesJun 2022 – Aug 2022Boston, MA
- City of Gloucester Department of Public WorksMay 2021 – Aug 2021Gloucester, MA
- KC White ConstructionMay 2020 – Aug 2020Gloucester, MA
- The Event CompanyApr 2019 – Aug 2019Gloucester, MA
- Mile Marker OneJun 2018 – Aug 2018Gloucester, MA
- Seaport GrilleJun 2017 – Aug 2017Gloucester, MA
- Bryant UniversitySep 2022 – May 2023Smithfield, RI
- Gloucester High SchoolSep 2018 – Jun 2019Gloucester, MA
- UnemployedJun 2023 – Aug 2023Gloucester, MA
- Bryant UniversitySep 2021 – May 2022Smithfield, RI
- Bryant UniversitySep 2020 – May 2021Smithfield, RI
- Bryant UniversitySep 2019 – May 2020Smithfield, RI
- Gloucester High SchoolSep 2017 – Jun 2018Gloucester, MA
- Gloucester High SchoolSep 2016 – Jun 2017Gloucester, MA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UBS Financial Services Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 9,380
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Weehawken, NJ
- SEC file number:
- 801-7163
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 25, 2026
View full firm profileOther advisors at UBS Financial Services Inc.
Showing 12 of 9,380 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Marc Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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