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Gregory Scott Smith

Ubs Financial Services Inc.

San Jose, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-03
CA RA APPROVED 2020-01-24
  • TX RA
    APPROVED_RES
    Since 2020-03-03
  • CA RA
    APPROVED
    Since 2020-01-24

Branch Locations

355 Santana Row Suite 2050, San Jose, CA 95128 • 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
OrganizationCityStateFromTo
Morgan Stanley Private Bank, National Association New York NY 01/2015 01/2020
Ubs Financial Services Inc San Jose CA 01/2020 Present
  • 01/2015 → 01/2020
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2020 → Present
    Ubs Financial Services Inc
    San Jose, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-06-30
S65 Uniform Investment Adviser Law Examination 1993-06-18
  • S63 Uniform Securities Agent State Law Examination
    1993-06-30
  • S65 Uniform Investment Adviser Law Examination
    1993-06-18

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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