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Kevin Hugh Smith

Wells Fargo Clearing Services, LLC

Los Angeles, CA

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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 2024-06-06
CA RA APPROVED 2008-07-30
  • TX RA
    APPROVED_RES
    Since 2024-06-06
  • CA RA
    APPROVED
    Since 2008-07-30

Branch Locations

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Walnut Creek CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2016 Present
Previous Registrations
  • 2003-01-10 → 2005-11-04
    Ubs Financial Services Inc.
    San Francisco, CA
  • 2001-05-10 → 2002-11-12
    Prudential Equity Group, Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-30
S63 Uniform Securities Agent State Law Examination 1992-09-01
  • S65 Uniform Investment Adviser Law Examination
    2001-01-30
  • S63 Uniform Securities Agent State Law Examination
    1992-09-01

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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