Alan Marshall Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2009-04-21
TX	RA	APPROVED	2009-04-17

GA RA
APPROVED

Since 2009-04-21
TX RA
APPROVED

Since 2009-04-17

Branch Locations

8000 Avalon Blvd Suite 925, Alpharetta, GA 30009 • United States

Milton, GA • 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	Atlanta	GA	04/2009	Present

04/2009 → Present

Ubs Financial Services Inc

Atlanta, GA

Previous Registrations

2007-04-02 → 2009-04-20

Morgan Stanley & Co. Llc

Alpharetta, GA
2003-01-03 → 2007-04-02

Morgan Stanley Dw Inc.

Atlanta, GA

Alpharetta, GA

Atlanta, GA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-11-21
S63	Uniform Securities Agent State Law Examination	1986-07-10

S65 Uniform Investment Adviser Law Examination

2000-11-21
S63 Uniform Securities Agent State Law Examination

1986-07-10