Steven Allen Smith

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
TX	RA	APPROVED_RES	2008-12-15
IL	RA	APPROVED	2005-04-12

TX RA
APPROVED_RES

Since 2008-12-15
IL RA
APPROVED

Since 2005-04-12

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 Yes
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 Services Inc	Naperville	IL	11/2013	Present

11/2013 → Present

Ubs Financial Services Inc

Naperville, IL

Other Businesses

SWEET WILLIAM RETAIL INC. / 15 E. FIRST ST. HINSDALE,IL 60521 / COMPANY/ RETAILERS (APPAREL, FOOD, GENERAL) / WOMEN'S APPAREL AND ACCESSORIES / MEMBER OF BOARD OF DIRECTORS / / START DATE 7/30/2014

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-04-11

S66 Uniform Combined State Law Examination

2005-04-11

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

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