Larry Ken 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:

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
MN	RA	APPROVED	2023-01-06

MN RA
APPROVED

Since 2023-01-06

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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

Organization	City	State	From	To
Wells Fargo Clearing Services	Minneapolis	MN	06/2022	Present
Wells Fargo Bank, Na	Minneapolis	MN	12/2010	Present

06/2022 → Present

Wells Fargo Clearing Services

Minneapolis, MN
12/2010 → Present

Wells Fargo Bank, Na

Minneapolis, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-12-09
S65	Uniform Investment Adviser Law Examination	1998-11-30
S63	Uniform Securities Agent State Law Examination	1998-02-14

S66 Uniform Combined State Law Examination

2022-12-09
S65 Uniform Investment Adviser Law Examination

1998-11-30
S63 Uniform Securities Agent State Law Examination

1998-02-14

Other Names

Ken L Smith
L Ken Smith

View on SEC IAPD