Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Smith is a financial advisor with over 20 years of experience in the industry. John is currently registered with Wells Fargo Clearing Services, LLC and has previously worked for Sammons Financial Network, LLC, American Equity Capital, Inc., and Ameriprise Advisor Services, Inc. John has a strong track record of success in helping clients achieve their financial goals. He is committed to providing personalized financial advice and guidance to his clients.
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
IA
07/08/2014 - Present
Wells Fargo Clearing Services, LLC (CLIVE IA)
IA
01/31/2012 - 07/02/2014
SAMMONS FINANCIAL NETWORK, LLC (WEST DES MOINES IA)
IA
03/25/2011 - 12/14/2011
AMERICAN EQUITY CAPITAL, INC. (WEST DES MOINES IA)
IL
09/16/1999 - 03/04/2009
AMERIPRISE ADVISOR SERVICES, INC. (ST. CHARLES IL)
IA
Issued 07/10/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/30/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/15/1999
Series 52 - Municipal 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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