Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Davis? Claim Your ProfileDavis Page Smith IV is a financial advisor with Wells Fargo Clearing Services, LLC. Davis has been in the financial services industry since 2004 and is registered in several states. Davis is a Series 7, 9, 10, 31, and 66 licensed professional. Davis has prior experience with JANNEY MONTGOMERY SCOTT LLC, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Davis specializes in providing investment consulting services to institutional clients, as well as financial planning and pension consulting.
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.
1
2
PA
01/27/2022 - Present
Wells Fargo Clearing Services, LLC (LANCASTER PA)
PA
11/14/2008 - 11/27/2013
JANNEY MONTGOMERY SCOTT LLC (LANCASTER PA)
PA
04/02/2007 - 11/18/2008
MORGAN STANLEY & CO. INCORPORATED (LANCASTER PA)
PA
08/12/2004 - 04/02/2007
MORGAN STANLEY DW INC. (LANCASTER PA)
MN
05/03/2004 - 05/20/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/03/2004 - 05/20/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 03/18/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/27/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 04/30/2004
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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