ALAN MARSHALL SMITH is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at DEERFIELD COMMONS, 12600 DEERFIELD PARKWAY, ALPHARETTA, GA, 30004.
ALAN MARSHALL SMITH has worked at UBS FINANCIAL SERVICES INC. since April 17, 2009
ALAN MARSHALL SMITH has 1 Disclosure Event(s).Date: May 14, 2015
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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