Aishah Smith

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
AL	RA	APPROVED	2018-10-25
SC	RA	APPROVED	2018-10-25

AL RA
APPROVED

Since 2018-10-25
SC RA
APPROVED

Since 2018-10-25

Branch Locations

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

2527 John Hawkins Pkwy, Hoover, AL 35244 • 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

Organization	City	State	From	To
Compass Bank	Homewood	AL	06/2011	06/2018
Bbva Securities Inc.	Homewood	AL	05/2013	06/2018
Bbva Compass Insurance Agency Inc.	Birmingham	AL	06/2011	06/2018
Wells Fargo Clearing Services, Llc.	Bessemer	AL	07/2018	Present
Wells Fargo Bank Na	Bessemer	AL	07/2018	Present

06/2011 → 06/2018

Compass Bank

Homewood, AL
05/2013 → 06/2018

Bbva Securities Inc.

Homewood, AL
06/2011 → 06/2018

Bbva Compass Insurance Agency Inc.

Birmingham, AL
07/2018 → Present

Wells Fargo Clearing Services, Llc.

Bessemer, AL
07/2018 → Present

Wells Fargo Bank Na

Bessemer, AL

Other Businesses

TARGET, NOT INV RELATED, BIRMINGHAM, AL, SALES ASSOCIATE, START: 10/01/2023, 70 HOURS A MONTH, 0 HOURS DURING TRADING, RETAIL SALES ASSOCIATE. MARSHALLS DEPARTMENT STORE; NOT INV RELATED; HOOVER, AL; S CORP;CLOTHING STORE; START DATE: 11/17/2025; 80 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-10-25
S63	Uniform Securities Agent State Law Examination	2008-02-22

S65 Uniform Investment Adviser Law Examination

2018-10-25
S63 Uniform Securities Agent State Law Examination

2008-02-22