Jeffrey Marshall Smith

CRD 1176017 · Wells Fargo Advisors · Beverly Hills, CA

IA RegisteredBroker

Also appears in the source record as: Jeff Smith; Jeffrey M Smith

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 8Series 24Series 65Series 63
Registered states (24): Arizona · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Kansas · Massachusetts · Michigan · Minnesota · Montana · Nevada · New Mexico · New York · Oregon · Tennessee · Texas · Utah · Washington · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (11)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Beverly Hills, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Beverly Hills, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Beverly Hills, CA · IA capacity

start not retrieved → present
Wells Fargo Investments, LLC
Beverly Hills, CA · IA capacity

Mar 7, 2007 → Jan 3, 2011
Wells Fargo Investments, LLC
Beverly Hills, CA · BC capacity

Mar 7, 2007 → Jan 3, 2011
Neuberger Berman, LLC
Los Angeles, CA · IA capacity

Nov 10, 2004 → Feb 20, 2007
Neuberger Berman, LLC
Los Angeles, CA · BC capacity

Nov 10, 2004 → Feb 20, 2007
Deutsche Investment Management Americas Inc.
Los Angeles, CA · IA capacity

Mar 15, 2001 → Dec 1, 2004
Deutsche Bank Securities Inc.
New York, NY · BC capacity

Oct 21, 2003 → Oct 26, 2004
Scudder Investor Services, Inc.
New York, NY · BC capacity

May 20, 1999 → Oct 21, 2003
Security Pacific Investments, Inc.
BC capacity

Sep 17, 1985 → Sep 1, 1989

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1176017 ↗ FINRA BrokerCheck record for CRD 1176017 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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