Individual Firm
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ANNETTE M SMITH
ANNETTE M PORTILLO, ANNETTE MARIE PORTILLO
CRD#: 5051886
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 Tampa, FL
0
Disclosures
13
Years of Experience
View By:
State Registrations
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Alabama 9/15/2022
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Massachusetts 9/15/2022
B
California 7/1/2022
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Mississippi 7/1/2022
B
Colorado 12/7/2021
B
New Hampshire 10/21/2020
B
Connecticut 6/2/2023
B
New Jersey 7/12/2022
B
District of Columbia 1/15/2025
B
New York 1/10/2020
B
Florida 7/30/2015
B
North Carolina 2/27/2018
IA
Florida 7/31/2015
B
Ohio 9/15/2022
B
Georgia 2/26/2018
B
South Carolina 7/12/2022
B
Idaho 9/15/2022
B
Tennessee 7/12/2022
B
Illinois 9/15/2022
B
Texas 6/22/2020
B
Indiana 9/15/2022
B
Utah 9/15/2022
B
Kansas 9/15/2022
B
Vermont 5/14/2020
B
Louisiana 9/15/2022
B
Virginia 6/22/2020
SRO Registrations
B
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B
B
B
B
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B
B
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/16/2013 - 08/04/2015 | WESLEY CHAPEL, FL | |
B | 12/11/2013 - 08/04/2015 | WESLEY CHAPEL, FL | |
IA | 08/06/2012 - 11/25/2013 | MIAMI, FL | |
B | 08/02/2012 - 11/25/2013 | MIAMI, FL | |
IA | 11/22/2011 - 08/06/2012 | MIAMI, FL | |
B | 07/11/2011 - 08/06/2012 | MIAMI, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.