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Daniel Robert Smith

Wells Fargo Clearing Services, LLC

Madison, CT

New Haven, CT

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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 2023-02-10
CT RA APPROVED 2014-06-25
  • TX RA
    APPROVED_RES
    Since 2023-02-10
  • CT RA
    APPROVED
    Since 2014-06-25

Branch Locations

600 Boston Post Rd 2Nd Fl, Madison, CT 06443 • United States

555 Long Wharf Dr 9Th Fl [Xe-Rbo], New Haven, CT 06511 • 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 Bank Na Woodbridge CT 06/2011 Present
Wells Fargo Advisors Llc Woodbridge CT 08/2011 11/2016
Wells Fargo Clearing Services, Llc Woodbridge CT 11/2016 Present
  • 06/2011 → Present
    Wells Fargo Bank Na
    Woodbridge, CT
  • 08/2011 → 11/2016
    Wells Fargo Advisors Llc
    Woodbridge, CT
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Woodbridge, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-24
S63 Uniform Securities Agent State Law Examination 2006-11-29
  • S65 Uniform Investment Adviser Law Examination
    2014-06-24
  • S63 Uniform Securities Agent State Law Examination
    2006-11-29
Other Names
  • Daniel R Smith

View on SEC IAPD

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Other Investors

AMY ALISIA LAWLER
CHRISTOPHER JOSEPH MACCA
KYLE JOSEPH FARRELL
Tracy Ane Pierson
ROBERT SANTINO PAOLUCCI
MARGARET OMARRA MARUZO
GLENN SIMON ZAVORSKAS
COLIN MICHAEL DUGAN

Other Offices

PRINCIPLE WEALTH · MADISON, CT
STIFEL, NICOLAUS & COMPANY, INCORPORATED · MADISON, CT
LPL FINANCIAL LLC · MADISON, CT
ACCRETIVE CAPITAL MANAGEMENT, LLC · MADISON, CT
ACADIAN VENTURES MANAGEMENT, LLC · MADISON, CT
MAI CAPITAL MANAGEMENT, LLC · Madison, CT
MAI CAPITAL MANAGEMENT, LLC · Madison, CT
COMMONWEALTH FINANCIAL NETWORK · MADISON, CT

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