Laura Ann Smith

CRD 2790715 · Wells Fargo Advisors · La Jolla, CA

IA RegisteredBroker

Also appears in the source record as: Laura A Rousseau; Laura Ann Rousseau; Laura A Smith

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 99TOSIESeries 3Series 7Series 10Series 9Series 66Series 63
Registered states (30): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Hawaii · Idaho · Illinois · Kentucky · Maryland · Massachusetts · Michigan · Missouri · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 28
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 (9)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
La Jolla, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
La Jolla, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
La Jolla, CA · IA capacity

start not retrieved → present
Ubs Financial Services Inc.
La Jolla, CA · IA capacity

Oct 16, 2008 → Apr 30, 2010
Ubs Financial Services Inc.
La Jolla, CA · BC capacity

Oct 15, 2008 → Apr 30, 2010
Citigroup Global Markets Inc.
Rancho Santa Fe, CA · IA capacity

Dec 3, 2001 → Oct 28, 2008
Citigroup Global Markets Inc.
Rancho Santa Fe, CA · BC capacity

Nov 16, 2001 → Oct 28, 2008
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Jan 24, 2000 → Jul 17, 2001
Prudential Securities Incorporated
New York, NY · BC capacity

Jun 26, 1997 → Jan 20, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2790715 ↗ FINRA BrokerCheck record for CRD 2790715 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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