Lester James Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Sterling, CO
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Sterling, CO

Previous Registrations

• 2006-07-18 → 2011-01-03
  Wells Fargo Investments, Llc
  Fort Morgan, CO
  Sterling, CO
  Sterling, CO

Other Businesses

BAR I S LLC; NOT INVESTMENT RELATED; STERLING, CO; FARMING; CO-OWNER; START DATE 1/1999; 4 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: MANAGER.| CITY OF STERLING PARKS, LIBRARY AND RECREATION BOARD; NOT INV. RELATED; STERLING, CO; BOARD MEMBER; START DATE 09/12/2024; 1 HR PER MONTH; 0 HRS DURING TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-17
• S63 Uniform Securities Agent State Law Examination
  1997-10-11

Other Names

• Jim Smith
• Jim Smith