Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adena? Claim Your ProfileAdena Maureen Smith is a financial advisor with over 30 years of experience in the industry. Adena Smith is currently registered with Wells Fargo Clearing Services, LLC and is licensed to provide investment advice in both California and Texas. Adena Maureen Smith has held previous positions with Morgan Stanley, Citigroup Global Markets Inc., and Lehman Brothers Inc. Adena Smith holds Series 63, 65, 7, 8, 9, 10, and SIE licenses and has a broad range of experience in the financial services industry. Adena Maureen Smith's areas of specialization include retirement planning, college savings, estate planning, and investment management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/19/2013 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
06/01/2009 - 03/05/2013
MORGAN STANLEY (BEVERLY HILLS CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BEVERLY HILLS CA)
NY
09/24/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/31/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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