Best Investors Account Sign in

Parker James Smith

Wells Fargo Clearing Services, LLC

Morristown, TN

CRD 4315478

Claim This Profile
Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2009-01-07
  • TN RA
    APPROVED
    Since 2009-01-07

Branch Locations

1833 W Morris Blvd Ste 201, Morristown, TN 37813 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Morristown TN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Morristown TN 11/2016 Present
Previous Registrations
Other Businesses

POWER OF ATTORNEY FOR FATHER, INV RELATED, MORRISTOWN, TN, START 3/8/2024, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-08
S63 Uniform Securities Agent State Law Examination 2001-02-09
  • S65 Uniform Investment Adviser Law Examination
    2007-03-08
  • S63 Uniform Securities Agent State Law Examination
    2001-02-09
Other Names
  • Pj Smith

View on SEC IAPD

Nearby Firms

EDWARD JONES
LPL FINANCIAL LLC
BENJAMIN F. EDWARDS & COMPANY, INC.

Nearby Investors

SARAH KATHERINE HOWARD
ROGER SCOTT ODOM
KELLY ANNE JACOBS

Nearby Offices

EDWARD JONES · Morristown, TN
LPL FINANCIAL LLC · MORRISTOWN, TN
EDWARD JONES · MORRISTOWN, TN

More in Morristown, TN

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor