Individual Firm
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.
J THOMAS SMITH
JAY THOMAS SMITH, THOMAS JAY SMITH
CRD#: 427994
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 3801 PGA BOULEVARD
10TH FLOOR
PALM BEACH GDNS, FL 33410
10TH FLOOR
PALM BEACH GDNS, FL 33410
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
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
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/10/1986
B
Registered with this firm since 9/12/1978
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/01/1971 - 01/31/1980 | ||
B | 12/23/1970 - 02/18/1971 |
02/01/1971 - 01/31/1980
12/23/1970 - 02/18/1971
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.