Gerald W Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-09-15
RI	RA	APPROVED	2025-08-15
TX	RA	APPROVED_RES	2010-11-01
IL	RA	APPROVED	2010-10-22

CA RA
APPROVED

Since 2025-09-15
RI RA
APPROVED

Since 2025-08-15
TX RA
APPROVED_RES

Since 2010-11-01
IL RA
APPROVED

Since 2010-10-22

Branch Locations

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • 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	Oakbrook Terrace	IL	10/2010	Present

10/2010 → Present

Ubs Financial Services Inc

Oakbrook Terrace, IL

Previous Registrations

1989-02-03 → 2010-10-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Schaumburg, IL

Schaumburg, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-08-03
S63	Uniform Securities Agent State Law Examination	1986-05-21

S65 Uniform Investment Adviser Law Examination

1993-08-03
S63 Uniform Securities Agent State Law Examination

1986-05-21

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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