Daniel J Smith

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2014-03-17
TX	RA	APPROVED	2011-05-02

ME RA
APPROVED

Since 2014-03-17
TX RA
APPROVED

Since 2011-05-02

Branch Locations

York, ME • United States

One Post Office Square 35Th Floor, Boston, MA 02109 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Boston	MA	02/2009	Present

02/2009 → Present

Ubs Financial Services Inc

Boston, MA

Other Businesses

1) A. J. B. Irrevocable Insurance Trust, Authorizing Life Insurance payments annually , Austin Texas United States-78735, I will be acting as trustee. The only functions I will be responsible for will be authorizing an annual life insurance payment, start date-7/29/2024.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-07-30
S63	Uniform Securities Agent State Law Examination	2002-05-29

S65 Uniform Investment Adviser Law Examination

2009-07-30
S63 Uniform Securities Agent State Law Examination

2002-05-29

View on SEC IAPD