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Alan J Smiley

Wells Fargo Advisors Financial Network, LLC

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About Alan J Smiley

Alan J Smiley is a financial advisor with over 30 years of experience. Alan is registered to provide investment advice and securities services in several states. Alan currently works for Wells Fargo Advisors Financial Network, LLC. Previously Alan was a registered representative with Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Zions Investment Securities, Inc., Fidelity Investments Institutional Services Company, Inc., and Fidelity Brokerage Services, Inc. Alan has passed Series 6, 7, 63 and 66 exams.

Firm Information

Alan Smiley is currently registered with Wells Fargo Advisors Financial Network, LLC. Wells Fargo Advisors Financial Network, LLC is a Limited Liability Company headquartered in St. Louis, Missouri. Founded in 2003, the firm offers a range of investment advisory services to individual and institutional clients, including financial planning, portfolio management, and pension consulting. Wells Fargo Advisors Financial Network, LLC is registered with the SEC and in all 50 states and the District of Columbia. The firm manages over $154 billion in regulatory assets under management.
Wells Fargo Advisors Financial Network, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103

$154.19B

Assets Under Management

2,434

Total Clients

3,095

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alan Smiley’s Registration & Firm History

UT

11/14/2022 - Present

Wells Fargo Advisors Financial Network, LLC (LEHI UT)

UT

01/03/2011 - 11/11/2022

WELLS FARGO CLEARING SERVICES, LLC (MOAB UT)

UT

04/29/2005 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (PROVO UT)

UT

10/26/2000 - 05/02/2005

ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)

RI

12/01/1998 - 04/06/1999

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

10/07/1995 - 08/27/1997

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

07/08/1987 - 10/07/1995

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 08/14/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/24/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/1988

Series 7 - General Securities Representative Examination

BC

Issued 07/06/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Alan J Smiley. Review regulatory record here.
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