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SHANE SHANNON SMITH
SHANE S SMITH
CRD#: 2281985
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3390 UNIVERSITY AVENUE
RIVERSIDE, CA 92501
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1992 - Present (32 years)
Disclosure(s)
View By:
6/13/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/17/1999

B
Nevada 1/21/2000

B
California 10/19/1992

B
North Carolina 1/4/2024

IA
California 7/8/1997

B
Ohio 1/21/2000

B
Colorado 1/13/2023

B
Oregon 11/16/1999

B
Florida 11/17/1999

B
Tennessee 5/3/2023

B
Georgia 1/19/2000

B
Texas 11/16/1999

B
Michigan 8/5/2022

B
Washington 11/16/1999

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

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3390 UNIVERSITY AVENUE, RIVERSIDE, CA 92501
Highland, CA
Registered with this firm since 10/11/1992

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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.