Karanja Smith

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-07-14

AZ RA
APPROVED

Since 2023-07-14

Branch Locations

8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Randstad	Scottsdale	AZ	02/2017	07/2017
The Vanguard Group, Inc.	Scottsdale	AZ	07/2017	02/2020
The Vanguard Group, Inc.	Scottsdale	AZ	02/2020	05/2023
Unemployed	Scottsdale	AZ	07/2016	01/2017
Wells Fargo Clearing Services, Llc	Scottsdale	AZ	05/2023	Present

02/2017 → 07/2017

Randstad

Scottsdale, AZ
07/2017 → 02/2020

The Vanguard Group, Inc.

Scottsdale, AZ
02/2020 → 05/2023

The Vanguard Group, Inc.

Scottsdale, AZ
07/2016 → 01/2017

Unemployed

Scottsdale, AZ
05/2023 → Present

Wells Fargo Clearing Services, Llc

Scottsdale, AZ

Previous Registrations

2021-10-13 → 2022-12-14

Vanguard Advisers, Inc.

Scottsdale, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-10-12
S63	Uniform Securities Agent State Law Examination	2020-06-15

S66 Uniform Combined State Law Examination

2021-10-12
S63 Uniform Securities Agent State Law Examination

2020-06-15