William Blair & Company
47yrs
Top advisor by experience in Illinois
33yrs
Based in Chicago, Illinois, Stephen Smith is a fiduciary financial advisor with 33 years of industry experience. Stephen has been with UBS Financial Services since 1997. UBS Financial Services offers financial planning, investment management, and retirement plan consulting and is paid through a percentage of assets, hourly fees, and flat fees.
One of 6312 advisors with offices in Chicago, and one of 5878 fiduciaries.
At a glance
Experience33 years (since 1994)
How that compares ?Top 10% by experience in Chicago
Office1 North Wacker Drive 32nd & 33rd, Chicago, IL 60606
How the firm is paid ?Percent of assets, Hourly, Flat fee, Commissions, Other
Typical client at the firm ?$693,691
Advisors at the firm9,367
States licensed ?2 states
Services through UBS Financial Services
Financial planningInvestment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersNewsletters and publicationsSecurity ratings or pricingEducational seminars and workshops
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Career
- 1997 – nowUBS Financial Services Inc.Current firm
Contact Stephen
Local office(312) 525-4640Ask for Stephen. (201) 352-3000Main office · Weehawken, NJ 1 North Wacker Drive 32nd & 33rdChicago, IL 60606Office · Get directions LinkedIn pageUBS Financial Services
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Questions to ask Stephen
Tailored to Stephen’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
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About Stephen
How do I contact Stephen?
Call Stephen’s local office at (312) 525-4640 or the UBS Financial Services main office at (201) 352-3000, and ask for Stephen Smith.
How long has Stephen been a financial advisor?
Stephen has been in the industry since 1994, about 33 years. Top 10% by experience in Chicago.
What licenses does Stephen hold?
Series 63, Series 65. Tap any license on this page to see what it allows.
Is Stephen a fiduciary?
Stephen is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is Stephen paid?
UBS Financial Services reports being paid by a percentage of the assets they manage, hourly fees, flat or fixed fees, commissions on some products, other fees. Ask Stephen for your total yearly cost in dollars.
Official record as of October 3, 2026.
This profile is for information only and is not financial advice or a recommendation.
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