Daniel B. Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-06-20
NJ	RA	APPROVED	2010-06-02
TX	RA	APPROVED_RES	2010-05-13

NY RA
APPROVED

Since 2023-06-20
NJ RA
APPROVED

Since 2010-06-02
TX RA
APPROVED_RES

Since 2010-05-13

Branch Locations

61 South Paramus Road Mack Center Iv, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Ubs Financial Services	Paramus	NJ	05/2010	Present

05/2010 → Present

Ubs Financial Services

Paramus, NJ

Previous Registrations

2002-05-13 → 2010-05-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Montvale, NJ

Montvale, NJ

Other Businesses

FTBO, Inc. / Providing assistance to local families for education and health expenses / 17 June Lane / Montvale / NJ / United States / 07645 / www.forthebenefitof.org / Fundraising and grant recipient reviews / No Active No / No

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-05-09

S66 Uniform Combined State Law Examination

2002-05-09

View on SEC IAPD