Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALEXANDER DODDS SMITH JR
CRD#: 2809826
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1285 Avenue of the Americas
Floor 15 thru 18
New York, NY 10019
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - Present (25 years)BCIBC WORLD MARKETS (CRD# 630)1997 - 1999 (2 years)
License(s)

State Registrations

B
Alabama 6/20/2006
B
Mississippi 1/4/2023
B
Alaska 6/20/2006
B
Missouri 7/29/2009
B
Arizona 1/2/2008
B
Montana 6/21/2017
B
California 6/20/2006
B
Nevada 10/29/2009
IA
California 6/5/2024
B
New Hampshire 6/20/2006
B
Colorado 6/20/2006
B
New Jersey 10/21/1999
B
Connecticut 6/20/2006
IA
New Jersey 6/5/2024
B
Delaware 7/29/2009
B
New Mexico 10/29/2009
B
District of Columbia 6/20/2006
B
New York 10/21/1999
B
Florida 6/20/2006
IA
New York 10/26/2021
IA
Florida 6/6/2024
B
North Carolina 6/20/2006
B
Georgia 6/20/2006
B
Ohio 8/9/2006
B
Hawaii 1/6/2017
B
Oklahoma 1/6/2017
B
Idaho 1/6/2017
B
Oregon 10/29/2009
B
Illinois 10/29/2009
B
Pennsylvania 6/20/2006
B
Indiana 6/20/2006
B
Puerto Rico 4/25/2022
B
Iowa 10/29/2009
B
Rhode Island 10/29/2009
B
Kansas 10/29/2009
B
South Carolina 6/20/2006
B
Kentucky 1/6/2017
B
Tennessee 10/13/2009
B
Louisiana 6/20/2006
B
Texas 5/10/2006
B
Maine 10/29/2009
B
Utah 4/13/2016
B
Maryland 6/20/2006
B
Vermont 6/20/2006
B
Massachusetts 6/20/2006
B
Virginia 6/20/2006
B
Michigan 6/20/2006
B
Washington 6/20/2006
B
Minnesota 10/29/2009
B
Wisconsin 6/20/2006

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)
1285 Avenue of the Americas Floor 15 thru 18, New York, NY 10019
Long Island City, NY
Registered with this firm since 10/26/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1285 Avenue of the Americas Floor 15 thru 18, New York, NY 10019
Long Island City, NY
Registered with this firm since 10/21/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/27/1997 - 11/05/1999 CIBC WORLD MARKETS (CRD#:630) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.