Mark Irwin Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	1998-07-31
TX	RA	APPROVED_RES	1995-10-19

FL RA
APPROVED

Since 1998-07-31
TX RA
APPROVED_RES

Since 1995-10-19

Branch Locations

5100 Town Center Circle Tower 2 - 6Th Floor, Boca Raton, FL 33486 • United States

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

Boca Raton, FL • 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 Inc.	Boca Raton	FL	06/1998	Present

06/1998 → Present

Ubs Financial Services Inc.

Boca Raton, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-04
S63	Uniform Securities Agent State Law Examination	1998-05-28

S65 Uniform Investment Adviser Law Examination

1998-08-04
S63 Uniform Securities Agent State Law Examination

1998-05-28

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

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