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Detailed Report
DANIEL J SMITH
CRD#: 4480804
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 One Post Office Square
35th Floor
BOSTON, MA 02109
Registration History
2002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (16 years)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2004 - 2009 (4 years)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2003 - 2004 (1 year)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2002 - 2003 (1 year)
License(s)

State Registrations

B
Arizona 3/26/2019
B
New Hampshire 4/9/2009
B
California 4/9/2009
B
New Jersey 4/9/2009
B
Colorado 4/22/2022
B
New Mexico 9/24/2021
B
Connecticut 4/9/2009
B
New York 4/9/2009
B
Delaware 4/9/2009
B
North Carolina 4/9/2009
B
District of Columbia 4/9/2009
B
Ohio 2/28/2022
B
Florida 4/9/2009
B
Oregon 4/9/2009
B
Georgia 11/17/2020
B
Pennsylvania 10/6/2016
B
Illinois 4/9/2009
B
Rhode Island 4/9/2009
B
Kentucky 2/28/2024
B
South Carolina 4/9/2009
B
Louisiana 2/8/2010
B
South Dakota 4/30/2019
B
Maine 4/9/2009
B
Texas 1/20/2011
IA
Maine 3/17/2014
IA
Texas 5/2/2011
B
Maryland 4/9/2009
B
Utah 5/15/2024
B
Massachusetts 2/20/2009
B
Vermont 4/9/2009
B
Missouri 11/1/2023
B
Virginia 4/9/2009
B
Montana 10/7/2016

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)
One Post Office Square 35th Floor, BOSTON, MA 02109
YORK, ME
Registered with this firm since 5/2/2011
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
One Post Office Square 35th Floor, BOSTON, MA 02109
YORK, ME
Registered with this firm since 2/20/2009
Previous Registration(s)
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B
 07/20/2004 - 02/23/2009 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) BOSTON, MA
B
 05/07/2003 - 07/07/2004 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) WALTHAM, MA
B
 03/01/2002 - 04/29/2003 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
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.