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Detailed Report
J THOMAS SMITH
JAY THOMAS SMITH, THOMAS JAY SMITH
CRD#: 427994
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3801 PGA BOULEVARD
10TH FLOOR
PALM BEACH GDNS, FL 33410
Registration History
197019751980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1986 - Present (38 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1978 - Present (46 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 640)1971 - 1980 (8 years)BGOODBODY & CO. INCORPORATED (CRD# 362)1970 - 1971 (<1 year)
Disclosure(s)
View By:
4/18/2001
Customer Dispute
Denied
3/9/1999
Customer Dispute
Denied
5/9/1996
Customer Dispute
Settled
9/2/1993
Customer Dispute
Settled
4/29/1987
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 6/27/2017
B
Nebraska 2/3/2025
B
Arizona 11/5/1992
B
Nevada 5/26/1994
B
Arkansas 2/12/2008
B
New Jersey 5/18/1984
B
California 3/23/1984
B
New Mexico 8/22/2022
B
Colorado 9/29/1987
B
New York 5/17/1984
B
Connecticut 5/18/1984
B
North Carolina 8/14/1982
B
Delaware 2/15/2016
B
Ohio 11/5/1993
B
District of Columbia 5/5/1993
B
Oklahoma 4/3/1989
B
Florida 5/9/1983
IA
Oklahoma 4/12/2002
IA
Florida 9/10/1986
B
Oregon 6/2/1993
B
Georgia 8/12/1985
B
Pennsylvania 9/6/1985
B
Illinois 3/30/1993
B
Rhode Island 6/29/2017
B
Indiana 1/23/2020
B
South Carolina 2/23/1987
B
Kansas 8/2/2004
B
Tennessee 10/26/2020
B
Maine 5/2/2022
B
Texas 1/24/1986
B
Maryland 1/24/1986
IA
Texas 11/1/2006
B
Massachusetts 5/17/1984
B
Virginia 3/24/1986
B
Michigan 10/16/1992
B
Wisconsin 1/19/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, 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)
3801 PGA BOULEVARD 10TH FLOOR, PALM BEACH GDNS, FL 33410
3801 PGA BLVD. SUITE 1000, PALM BEACH GARDENS, FL 33410
Registered with this firm since 9/10/1986
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3801 PGA BOULEVARD 10TH FLOOR, PALM BEACH GDNS, FL 33410
3801 PGA BLVD. SUITE 1000, PALM BEACH GARDENS, FL 33410
Registered with this firm since 9/12/1978
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/01/1971 - 01/31/1980 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
B
 12/23/1970 - 02/18/1971 GOODBODY & CO. INCORPORATED (CRD#:362)
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.