Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Florie? Claim Your ProfileFlorie Jean Smith is a financial advisor currently associated with Wells Fargo Clearing Services, LLC. Florie has been in the financial services industry for over 20 years and has experience with a variety of firms including Ameriprise Financial Services, LLC and Chase Investment Services Corp. Florie holds several licenses and certifications, including Series 7, 10, 24, 63, and SIE. Florie is registered in 14 states and has expertise in a range of investment products and services.
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
TX
06/19/2020 - Present
Wells Fargo Clearing Services, LLC (WEATHERFORD TX)
TX
08/28/2017 - 06/25/2020
AMERIPRISE FINANCIAL SERVICES, LLC (SOUTHLAKE TX)
TX
09/29/2004 - 08/29/2017
WELLS FARGO CLEARING SERVICES, LLC (ARLINGTON TX)
IL
03/21/2002 - 03/04/2003
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MO
01/16/2001 - 03/20/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 01/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/11/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/20/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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