Patricia B Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2006-07-20

TX RA
APPROVED

Since 2006-07-20

Branch Locations

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States

Phoenix, AZ • 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
Ubs Financial Services Inc	Phoenix	AZ	07/2006	Present

07/2006 → Present

Ubs Financial Services Inc

Phoenix, AZ

Previous Registrations

2003-07-01 → 2006-07-20

Wells Fargo Clearing Services, Llc

Surprise, AZ

Surprise, AZ
2001-05-16 → 2003-07-01

Prudential Equity Group, Llc

Sun City, AZ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-08
S63	Uniform Securities Agent State Law Examination	1982-03-18

S65 Uniform Investment Adviser Law Examination

1993-12-08
S63 Uniform Securities Agent State Law Examination

1982-03-18

Other Names

Patricia Boyce Smith
Patricia Ann Peterson
Patricia Boyce
Patricia Ann Peterson
Patricia Annboyce Smith

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews