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STANFORD STEWART SMITH
STAN SMITH, STANFORD STEWARD SMITH, STANFORD SMITH
CRD#: 1677009
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Eden, UT
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1995 (6 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1988 (<1 year)
Disclosure(s)
View By:
10/30/1996
Customer Dispute
Settled
2/10/1987
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/1/2000

B
North Carolina 1/19/2024

B
California 1/11/1995

B
North Dakota 10/11/2021

IA
California 7/8/1997

B
Ohio 3/8/2000

B
Colorado 2/7/2013

B
Oregon 3/9/2000

B
Florida 3/2/2000

B
Pennsylvania 7/20/2018

B
Georgia 3/2/2000

B
Tennessee 5/4/2023

B
Illinois 3/6/2000

B
Texas 3/1/2000

B
Kansas 8/30/2007

IA
Texas 4/25/2011

B
Michigan 8/4/2022

B
Utah 2/10/2009

B
Missouri 2/1/2005

IA
Utah 1/12/2021

B
Montana 8/7/2023

B
Washington 1/6/2011

B
Nevada 3/8/2000

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

View Exams Passed by the individual in the detailed report

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)
Eden, UT
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Eden, UT
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Registered with this firm since 1/11/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/05/1988 - 01/17/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
06/10/1987 - 01/09/1988 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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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.