Michael Scott 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
UT	RA	APPROVED	2020-09-17
TX	RA	APPROVED_RES	2018-02-16
CO	RA	APPROVED	2016-02-19

UT RA
APPROVED

Since 2020-09-17
TX RA
APPROVED_RES

Since 2018-02-16
CO RA
APPROVED

Since 2016-02-19

Branch Locations

Alpine, UT • United States

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • 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 Advisors, Llc	Englewood	CO	02/2016	11/2016
Wells Fargo Clearing Services, Llc	Englewood	CO	11/2016	Present

02/2016 → 11/2016

Wells Fargo Advisors, Llc

Englewood, CO
11/2016 → Present

Wells Fargo Clearing Services, Llc

Englewood, CO

Previous Registrations

2012-10-01 → 2016-03-01

J.P. Morgan Securities Llc

Littleton, CO
2008-12-09 → 2012-10-01

Chase Investment Services Corp.

Aurora, CO

Yuba City, CA

Littleton, CO

Aurora, CO

Littleton, CO

Littleton, CO

Littleton, CO

Aurora, CO

Greenwood Village, CO

Greenwood Village, CO

Centennial, CO

Littleton, CO

Marysville, CA

Yuba City, CA

Littleton, CO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-05

S66 Uniform Combined State Law Examination

2008-12-05

Other Names

M. Scott Smith

View on SEC IAPD