Walter Bragdon 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1991 → Present
  Smithdirects, Inc
  Phoenix, AZ
• 01/2016 → 03/2017
  Metlife Securities Inc
  Minnetonka, MN
• 03/2017 → 01/2019
  Mml Investors Services
  Minneapolis, MN
• 07/2016 → 12/2017
  Mass Mutual Life Insurance Company
  Minneapolis, MN
• 12/2019 → Present
  Wells Fargo Clearing Services
  Minneapolis, MN
• 12/2019 → Present
  Wells Fargo Bank
  Minneapolis, MN

Previous Registrations

• 2018-04-23 → 2019-01-09
  Mml Investors Services, Llc
  Plymouth, MN
  Minneapolis, MN

Other Businesses

MASSMUTUAL / METLIFE; NOT INV. RELATED; SPRINGFIELD, MA; TRAIL COMMISSIONS; LIFE INSURANCE; START DATE 12/2019; 0 HRS PER MONTH. Name: Smithdirects (name used as DBA/formerly S-Corp now dissolved) Inv rel: N Add: 7201 Heatherton Cir, Edina, MN 55435 Nature: Voice for narration and radio/TV advertising Position: Ownership, Voice/Over talent & creative consultant Start date: 9/1991 No. HR/MO: 4 (not during business hours) No. HR/MO during sec trading: 0

Exams

• S66 Uniform Combined State Law Examination
  2016-06-22

Other Names

• Walter Bragdon Smith
• Walter Smith