Mary Smith Banis

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
ME	RA	APPROVED	2020-05-28

ME RA
APPROVED

Since 2020-05-28

Branch Locations

Westwood, MA • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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 S. - Wilmington	Boston	MA	08/2008	Present

08/2008 → Present

Ubs Financial S. - Wilmington

Boston, MA

Other Businesses

770 Partnership LLC / 1675 Broadway Ste 2600 Denver,Colorado 80202 / Partnership/ Real Estate / holds family condominuim in Florida / Partner / / None. Manager is responsible / Start Date 12/27/11 / Love Bug Child Care Center,MassachusettsUnited States,lovebugchildcarenorfolk.com,Educational Establishment,Education,Child Care Center,Substitute aidAssiste teachers with childrenStart date -4/1/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-07-30
S63	Uniform Securities Agent State Law Examination	1982-05-12

S66 Uniform Combined State Law Examination

2001-07-30
S63 Uniform Securities Agent State Law Examination

1982-05-12

Other Names

Mary Banis Smith
Mary Charles Banis
Mary Charles Smith
Missy Banis

View on SEC IAPD