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LARRY LEE SMERGLIA
CRD#: 426796
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 175 MONTROSE WEST AVENUE
AKRON, OH 44321
Registration History
197519801985199019952000200520102015202020252 FIRMS2005 - Present (19 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 2005 (27 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1972 - 1978 (5 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1989 - 2005 (16 years)
Disclosure(s)
View By:
5/31/2011
Customer Dispute
Denied
11/17/2005
Customer Dispute
Settled
3/5/2003
Customer Dispute
Settled
1/6/2003
Customer Dispute
Denied
11/22/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/8/2016

B
New York 5/3/2010

B
Arizona 10/14/2005

B
North Carolina 10/14/2005

B
California 10/14/2005

B
Ohio 10/14/2005

B
Colorado 7/2/2007

IA
Ohio 10/18/2005

B
Florida 10/14/2005

B
Pennsylvania 5/3/2010

B
Georgia 10/14/2005

B
South Carolina 10/3/2006

B
Idaho 10/14/2005

B
South Dakota 11/29/2018

B
Illinois 6/20/2023

B
Tennessee 8/26/2010

B
Indiana 3/27/2014

B
Texas 10/14/2005

B
Kentucky 10/14/2005

IA
Texas 10/14/2005

B
Maryland 5/27/2010

B
Utah 3/15/2022

B
Massachusetts 5/4/2010

B
Virginia 10/14/2005

B
Michigan 10/14/2005

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)
175 MONTROSE WEST AVENUE, AKRON, OH 44321
Mineral city, OH
Registered with this firm since 10/14/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
175 MONTROSE WEST AVENUE, AKRON, OH 44321
Mineral city, OH
Registered with this firm since 10/14/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/28/1989 - 10/20/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) CANTON, OH
B
09/26/1978 - 10/20/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
11/03/1972 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
For additional information about investment advisers or broker-dealers, please visit
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.