Darrell Smith

Ubs Financial Services Inc.

CRD 7456226

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-07-05
TN	RA	APPROVED	2022-03-15

TX RA
APPROVED

Since 2022-07-05
TN RA
APPROVED

Since 2022-03-15

Branch Locations

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • 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 Inc	Memphis	TN	11/2021	Present
Pga Tour	Ponte Vedra Beach	FL	08/2018	09/2021
Youth Programs, Inc.	Memphis	TN	01/2011	08/2018

11/2021 → Present

Ubs Financial Services Inc

Memphis, TN
08/2018 → 09/2021

Pga Tour

Ponte Vedra Beach, FL
01/2011 → 08/2018

Youth Programs, Inc.

Memphis, TN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-11

S66 Uniform Combined State Law Examination

2022-03-11

View on SEC IAPD

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