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Kirby Clifford Smith

Wells Fargo Clearing Services, LLC

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About Kirby Clifford Smith

Kirby Clifford Smith is a financial professional with over 40 years of experience in the industry. Kirby is currently registered with Wells Fargo Clearing Services, LLC. Prior to joining Wells Fargo Clearing Services, LLC, Kirby was affiliated with Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC, Morgan Stanley DW Inc., BT Alex. Brown Incorporated, and Alex. Brown & Sons Incorporated. Kirby holds FINRA Series 7, 9, 10, 63, and 65 licenses and the SIE exam. Kirby is registered with the state of Texas for both Broker-Dealer and Investment Advisor.

Firm Information

Kirby Smith is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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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Kirby Smith’s Registration & Firm History

MD

06/28/2019 - Present

Wells Fargo Clearing Services, LLC (LUTHERVILLE MD)

MD

10/05/2011 - 06/28/2019

AMERIPRISE FINANCIAL SERVICES, INC. (TIMONIUM MD)

MD

04/08/2004 - 10/07/2011

WELLS FARGO ADVISORS, LLC (LUTHERVILLE MD)

NY

05/26/1998 - 04/12/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

MD

09/01/1997 - 08/05/1998

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NA

06/26/1980 - 09/01/1997

ALEX. BROWN & SONS INCORPORATED

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Licenses & Designations

IA

Issued 01/12/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/25/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/10/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 02/03/2007

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Kirby Clifford Smith. Review regulatory record here.
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