Best Investors Account Sign in

Joseph Bradley Smith

Wells Fargo Advisors Financial Network, LLC

Baton Rouge, LA

Claim This Profile
Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2019-05-16
TX RA APPROVED_RES 2019-05-13
  • LA RA
    APPROVED
    Since 2019-05-16
  • TX RA
    APPROVED_RES
    Since 2019-05-13

Branch Locations

8675 Bluebonnet Blvd Ste B, Baton Rouge, LA 70810 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Baton Rouge LA 06/2009 05/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 05/2019
Wells Fargo Advisors Financial Network, Llc Baton Rouge LA 05/2019 Present
  • 06/2009 → 05/2019
    Morgan Stanley Smith Barney
    Baton Rouge, LA
  • 01/2015 → 05/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 05/2019 → Present
    Wells Fargo Advisors Financial Network, Llc
    Baton Rouge, LA
Previous Registrations
  • 2009-06-01 → 2019-05-14
    Morgan Stanley
    Baton Rouge, LA
  • 2006-04-25 → 2009-06-01
    Citigroup Global Markets Inc.
    Baton Rouge, LA
  • 2003-01-09 → 2004-09-03
    Capital One Investments, Llc
    Denham Springs, LA
    Denham Springs, LA
Other Businesses

PROVIEW WEALTH MANAGEMENT, INVT RELATED, BATON ROUGE, LA, 100% OWNERSHIP, START DATE 5/9/2019, 200 HRS PER MONTH, ALL HRS DURING TRADING, FOR FINET PRACTICE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-07-19
  • S63 Uniform Securities Agent State Law Examination
    1999-07-19
Other Names
  • Brad Smith
  • Joseph Bradley Smith

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES & ASSOCIATES, INC.
CETERA INVESTMENT ADVISERS LLC
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
3RD STREET CAPITAL MANAGEMENT L.L.C.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
MORGAN STANLEY · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · BATON ROUGE, LA

More in Baton Rouge, LA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor