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Marc Lynn Smith

Wells Fargo Clearing Services, LLC

Indio, CA

El Centro, CA

El Centro, CA

Palm Desert, CA

Irvine, CA

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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
TX RA APPROVED 2024-10-23
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2024-10-23
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

46020 Monroe St, Indio, CA 92201 • United States

1200 W Main St, El Centro, CA 92243 • United States

750 N Imperial Ave, El Centro, CA 92243 • United States

74105 El Paseo, Palm Desert, CA 92260 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 Indio CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Indio CA 11/2016 Present
Previous Registrations
  • 2009-11-16 → 2011-01-03
    Wells Fargo Investments, Llc
    El Centro, CA
    Indio, CA
  • 2001-06-06 → 2009-11-16
    U.S. Bancorp Advisors, Llc
    Calexico, CA
    El Centro, CA
    Brawley, CA
    Blythe, CA
    Calexico, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-14
S63 Uniform Securities Agent State Law Examination 2000-02-07
  • S65 Uniform Investment Adviser Law Examination
    2001-05-14
  • S63 Uniform Securities Agent State Law Examination
    2000-02-07

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
NWF ADVISORY SERVICES INC
J.P. MORGAN SECURITIES LLC
LEO WEALTH AMERICAS, LLC
U.S. BANCORP ADVISORS, LLC
INDEPENDENT ADVISOR ALLIANCE, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
DST WEALTH MANAGEMENT LLC

Other Investors

CHRISTOPHER ALAN CLAPINSKI
DYLAN TIMOTHY BRENNAN
MIGUEL MELERO
JOHN FREDERICK SLOOP
ALIYAH JARAMILLO
MICHAEL JOSEPH BROWN
John M Polovick
DANIEL NEIL SAVARD

Other Offices

LPL FINANCIAL LLC · INDIO, CA
NWF ADVISORY SERVICES INC · Indio, CA
WELLS FARGO CLEARING SERVICES, LLC · LA QUINTA, CA
WELLS FARGO CLEARING SERVICES, LLC · COACHELLA, CA
J.P. MORGAN SECURITIES LLC · LA QUINTA, CA
LEO WEALTH AMERICAS, LLC · Indio, CA
U.S. BANCORP ADVISORS, LLC · La Quinta, CA
INDEPENDENT ADVISOR ALLIANCE, LLC · La Quinta, CA

More in Indio, CA

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