Neal Robert Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-11-04
VA	RA	APPROVED	2012-12-21

TX RA
APPROVED_RES

Since 2013-11-04
VA RA
APPROVED

Since 2012-12-21

Branch Locations

Wells Fargo Center/ 440 Monticello Avenue Suite 2000, Norfolk, VA 23510 • United States

Virginia Beach, VA • 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 Yes
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	Norfolk	VA	10/2012	Present
Us Navy	San Diego	CA	02/2004	Present

10/2012 → Present

Ubs

Norfolk, VA
02/2004 → Present

Us Navy

San Diego, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-12-20

S66 Uniform Combined State Law Examination

2012-12-20

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

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