James Bruce Smith

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2019-06-07
TX	RA	APPROVED_RES	2017-06-06
GA	RA	APPROVED	2013-04-16

FL RA
APPROVED

Since 2019-06-07
TX RA
APPROVED_RES

Since 2017-06-06
GA RA
APPROVED

Since 2013-04-16

Branch Locations

3560 Lenox Road Ne 28Th Floor, Atlanta, GA 30326 • United States

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

Atlanta, GA • 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	Atlanta	GA	02/2013	Present

02/2013 → Present

Ubs Financial Services

Atlanta, GA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-04-15

S66 Uniform Combined State Law Examination

2013-04-15

Other Names

Jb Smith
James Smith

View on SEC IAPD

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