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DAVID J. SMITH
DAVID JOHN SMITH, DAVID SMITH
CRD#: 1172337
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 NORTH WACKER DRIVE
32ND & 33RD
CHICAGO, IL 60606
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1984 - 2007 (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1984 (<1 year)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (9 years)
Disclosure(s)
View By:
5/15/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 9/25/2008

B
Missouri 12/24/2024

B
California 11/7/2014

B
Nevada 11/16/2011

B
Colorado 9/25/2008

B
New Jersey 1/17/2020

B
Florida 9/25/2008

B
New Mexico 2/14/2024

B
Illinois 9/25/2008

B
Ohio 6/19/2014

IA
Illinois 9/25/2008

B
Pennsylvania 6/20/2017

B
Indiana 9/25/2008

B
South Dakota 4/8/2013

B
Kansas 3/4/2024

B
Texas 9/17/2019

B
Kentucky 10/23/2008

B
Utah 11/1/2024

B
Maryland 5/13/2015

B
Wisconsin 8/29/2016

B
Michigan 9/10/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Flossmoor, IL
Registered with this firm since 9/25/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Flossmoor, IL
Registered with this firm since 9/25/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 10/06/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
B
04/02/2007 - 10/06/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHICAGO, IL
IA
02/26/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) CHICAGO, IL
B
08/09/1984 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) CHICAGO, IL
B
08/24/1983 - 07/06/1984 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
IA
Investment Adviser
Disclosures
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.