Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Morgan? Claim Your ProfileMorgan Nicole Smith is a registered representative with Wells Fargo Clearing Services, LLC. Morgan is licensed to offer securities and investment advisory services in Idaho, Oregon, Texas, and Washington. Morgan has been in the financial services industry since 2019 and has a Series 63, Series 65, and Series 7 license. Morgan is also a registered principal with Wells Fargo Clearing Services, LLC. Morgan has experience providing financial advice to a variety of clients, including individuals, families, and businesses.
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
ID
12/23/2022 - Present
Wells Fargo Clearing Services, LLC (BOISE ID)
IA
Issued 12/22/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2024
Series 7TO - General Securities Representative Examination
BC
Issued 11/23/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/09/2022
SIE - Securities Industry Essentials 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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