Stanford Stewart Smith

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2021-01-12
TX	RA	APPROVED_RES	2011-04-25
CA	RA	APPROVED	1997-07-08

UT RA
APPROVED

Since 2021-01-12
TX RA
APPROVED_RES

Since 2011-04-25
CA RA
APPROVED

Since 1997-07-08

Branch Locations

Eden, UT • United States

3390 University Avenue, Riverside, CA 92501 • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Redlands	CA	12/1994	Present

12/1994 → Present

Ubs Financial Services Inc.

Redlands, CA

Other Businesses

1)FOOTBALL REFEREE. ADDRESS/NA. NOT INVESTMENT RELATED. BUSINESS - REFEREE HIGH SCHOOL FOOTBALL. POSITION - REFEREE. START DATE 08/30/2007. 4 HRS/WEEK - AUG.-31 - NOV. NO HRS DURING SECURITIES TRADING HRS. DUTIES - REFEREE HIGH SCHOOL FOOTBALL. 2)REFEREE AT SPORTING EVENTS,CAUnited States,Referee High School Football,Referee High School FootballReferee High School Football,Referee High School FootballReferee High School Football9Start date -8/14/2025

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-05
S63	Uniform Securities Agent State Law Examination	1987-06-12

S66 Uniform Combined State Law Examination

2021-01-05
S63 Uniform Securities Agent State Law Examination

1987-06-12

Other Names

Stanford Steward Smith
Stan Smith
Stanford Smith

View on SEC IAPD