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Sandra Louise Smith

Wells Fargo Clearing Services, LLC

Greensboro, NC

Winston Salem, NC

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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_RES 2015-01-09
NC RA APPROVED 2009-12-11
  • TX RA
    APPROVED_RES
    Since 2015-01-09
  • NC RA
    APPROVED
    Since 2009-12-11

Branch Locations

806 Green Valley Rd Ste 100, Greensboro, NC 27408 • United States

380 Knollwood St Ste 600, Winston Salem, NC 27103 • 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 Greensboro NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Greensboro NC 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-08
S63 Uniform Securities Agent State Law Examination 2009-03-27
  • S66 Uniform Combined State Law Examination
    2009-12-08
  • S63 Uniform Securities Agent State Law Examination
    2009-03-27
Other Names
  • Sandra Louise Griffin

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
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BY DESIGN FINANCIAL PLANNING · GREENSBORO, NC
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