Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vicki? Claim Your ProfileVicki Ann Smith is a financial advisor with over 34 years of experience in the industry. Vicki is currently registered with Wells Fargo Clearing Services, LLC, and is licensed to provide investment advice in Texas and Virginia. Previously, Vicki was registered with Wells Fargo Advisors, LLC and A. G. Edwards & Sons, Inc., where she gained experience in various aspects of the financial services industry. Vicki holds a Series 7 and Series 63 license as well as the Series 65 license and the SIE exam. In addition to her role as a financial advisor, Vicki also serves as a trustee for her sister. Vicki's experience and qualifications make her a valuable resource for clients seeking financial advice and guidance.
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
VA
09/07/2011 - Present
Wells Fargo Clearing Services, LLC (WILLIAMSBURG VA)
MA
01/01/2008 - 08/31/2010
WELLS FARGO ADVISORS, LLC (HYANNIS MA)
MA
09/23/1988 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CENTERVILLE MA)
NA
04/29/1987 - 09/01/1988
WHEAT, FIRST SECURITIES, INC.
IA
Issued 11/03/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
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
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