Bruce D. Smith
Professional summary
Bruce Davis Smith was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce Davis Smith, who also goes by Bruce D Smith, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1991. Bruce had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2019 - December 31, 2021
THE SPORTS ADVISORY GROUP, LLC
January 20, 2012 - August 21, 2018
UBS FINANCIAL SERVICES INC.
January 20, 2012 - August 21, 2018
UBS FINANCIAL SERVICES INC.
August 8, 2008 - January 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2008 - January 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2003 - August 22, 2008
UBS FINANCIAL SERVICES INC.
September 23, 2003 - August 22, 2008
UBS FINANCIAL SERVICES INC.
July 17, 1991 - November 25, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE SPORTS ADVISORY GROUP, LLC
CRD#: 301573 / SEC#:
Contact information
Red Flags
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