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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Marshall Smith is a financial advisor with over 28 years of experience in the industry. Jeffrey has worked with Wells Fargo Clearing Services, LLC since November 2016. Prior to that, Jeffrey worked with Wells Fargo Advisors LLC and Neuberger Berman, LLC. Jeffrey is registered with the state of Texas as an Investment Advisor Representative.
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
CA
10/26/2016 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
03/07/2007 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEVERLY HILLS CA)
CA
11/10/2004 - 02/20/2007
NEUBERGER BERMAN, LLC (LOS ANGELES CA)
NY
10/21/2003 - 10/26/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
05/20/1999 - 10/21/2003
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NA
09/17/1985 - 09/01/1989
SECURITY PACIFIC INVESTMENTS, INC.
CA
01/26/1984 - 09/01/1989
SECURITY PACIFIC INVESTMENTS, INC. (OAKLAND CA)
IA
Issued 06/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/21/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1999
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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