Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Larry? Claim Your ProfileLarry Ken Smith is a financial professional with over 24 years of experience in the financial services industry. Larry is currently registered with Wells Fargo Clearing Services, LLC and has been employed by them since 06/2022. Prior to this, Larry was employed by Compulife Investor Services, Inc. from 1/28/1998 to 7/28/2000. Larry has passed several industry exams including Series 63, Series 65, Series 7, Series 24 and SIE and has obtained the Certified Financial Planner designation. Larry also holds registrations with the state of Minnesota.
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
FL
01/06/2023 - Present
Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)
MN
01/28/1998 - 07/28/2000
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
BOTH
Issued 12/09/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/1998
Series 24 - General Securities Principal Examination
BC
Issued 11/16/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/02/2022
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1998
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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