Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Smith is a financial advisor with Wells Fargo Clearing Services, LLC. Stuart has been a financial advisor for over 25 years and holds a Series 6, 7, 24, 63, 65 and 66 licenses as well as the SIE designation. He is a Certified Financial Planner™ professional. Stuart has experience with a variety of clients, including individuals, corporations, and institutions. He is committed to providing personalized financial advice and helping his clients achieve their financial goals. Stuart Smith has previously been registered with a number of other firms, including J.P. Morgan Securities LLC, Prudential Annuities Distributors, Inc, Fidelity Investments Institutional Services Company, Inc. Stuart Smith is a committed advisor who has the expertise to help his clients reach their financial goals.
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
TX
10/04/2022 - Present
Wells Fargo Clearing Services, LLC (ROCKWALL TX)
TX
07/14/2017 - 09/22/2022
J.P. MORGAN SECURITIES LLC (ROCKWALL TX)
CT
06/04/2015 - 11/09/2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
TX
12/19/2012 - 01/26/2015
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (WESTLAKE TX)
MO
09/19/2012 - 11/30/2012
MIDAMERICA FINANCIAL SERVICES, INC. (JOPLIN MO)
MO
04/26/2012 - 09/05/2012
PATRICK CAPITAL MARKETS, LLC (ST LOUIS MO)
VA
03/01/2006 - 01/25/2011
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
IL
02/16/2000 - 01/31/2006
ALLSTATE DISTRIBUTORS, L.L.C. (NORTHBROOK IL)
IL
09/13/1999 - 02/14/2000
ALLSTATE LIFE FINANCIAL SERVICES, INC. (NORTHBROOK IL)
MA
10/23/1996 - 08/20/1999
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
GA
01/12/1995 - 06/10/1996
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
NA
06/16/1994 - 12/31/1994
AMERICAN CAPITAL MARKETING, INC.
TX
02/11/1994 - 06/08/1994
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
NA
10/05/1992 - 01/20/1994
AMERICAN CAPITAL MARKETING, INC.
BOTH
Issued 08/22/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/21/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1994
Series 7 - General Securities Representative Examination
BC
Issued 10/02/1992
Series 6 - Investment Company Products/Variable Contracts 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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