J Thomas 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	2006-11-01
OK	RA	APPROVED	2002-04-12
FL	RA	APPROVED	1986-09-10

TX RA
APPROVED_RES

Since 2006-11-01
OK RA
APPROVED

Since 2002-04-12
FL RA
APPROVED

Since 1986-09-10

Branch Locations

3801 Pga Blvd. Suite 1000, Palm Beach Gardens, FL 33410 • United States

3801 Pga Boulevard 10Th Floor, Palm Beach Gdns, FL 33410 • 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
Painewebber Incorporated	Palm Beach Gdns	FL	01/1967	Present

01/1967 → Present

Painewebber Incorporated

Palm Beach Gdns, FL

Other Businesses

Trip Caddy LLC/ Category - Company/ Principal Business Activity - high end vacation home rentals/ Role - Advisor or advisory group member if advice given may influence an officer/board/ Duty - advisory role only/ Compensation - No.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-01-17
S63	Uniform Securities Agent State Law Examination	1984-04-20

S65 Uniform Investment Adviser Law Examination

1996-01-17
S63 Uniform Securities Agent State Law Examination

1984-04-20

Other Names

Thomas Jay Smith
Jay Thomas Smith

View on SEC IAPD