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RUSSELL RAYMOND SMITH
CRD#: 3034860
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Bonita Springs, FL
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2003 - 2011 (7 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2011 (5 years)
License(s)

State Registrations

B
Connecticut 6/2/2011

B
New Hampshire 6/2/2011

B
Florida 6/2/2011

B
Texas 1/23/2018

IA
Florida 4/22/2024

IA
Texas 5/15/2018

B
Georgia 6/2/2011

B
Vermont 1/24/2012

B
Maine 6/2/2011

B
Washington 6/2/2011

B
Massachusetts 6/2/2011

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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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Bonita Springs, FL
Registered with this firm since 5/15/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Bonita Springs, FL
Registered with this firm since 6/2/2011

Previous Registration(s)
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IA
06/23/2006 - 06/03/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) NORWELL, MA
B
07/01/2003 - 06/03/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) NORWELL, MA
B
05/14/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.