Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laura? Claim Your ProfileLaura Smith is a financial advisor who has been in the industry since 1997. Laura is currently registered with Wells Fargo Clearing Services, LLC and has been with this firm since May 2010. Laura has held previous positions with UBS Financial Services Inc., Citigroup Global Markets Inc., Morgan Stanley DW Inc., and Prudential Securities Incorporated. Laura provides investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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
03/27/2023 - Present
Wells Fargo Clearing Services, LLC (LA JOLLA CA)
CA
10/15/2008 - 04/30/2010
UBS FINANCIAL SERVICES INC. (LA JOLLA CA)
CA
11/16/2001 - 10/28/2008
CITIGROUP GLOBAL MARKETS INC. (RANCHO SANTA FE CA)
NY
01/24/2000 - 07/17/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/26/1997 - 01/20/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 07/21/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1998
Series 3 - National Commodity Futures Examination
BC
Issued 06/25/1997
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
Not sure Laura Smith is the right advisor for you? Invested Better is here to help.
