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Stephanie Marie Rood-Smith

Wells Fargo Clearing Services, LLC

Canby, OR

Lake Oswego, OR

Vancouver, WA

West Linn, OR

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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 2022-05-24
OR RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2022-05-24
  • OR RA
    APPROVED
    Since 2011-01-03

Branch Locations

150 Nw 2Nd Ave, Canby, OR 97013 • United States

522 A Ave, Lake Oswego, OR 97034 • United States

700 Sw Washington St 5Th Fl Ste 501 [Wd-Rbo], Vancouver, WA 98660 • United States

19181 Willamette Dr, West Linn, OR 97068 • 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 Advisors Llc Tigard OR 01/2011 11/2016
Wells Fargo Clearing Services, Llc Tigard OR 11/2016 Present
Previous Registrations
  • 2003-05-30 → 2011-01-03
    Wells Fargo Investments, Llc
    Lake Oswego, OR
    Tigard, OR
    Canby, OR
    Tigard, OR
    Molalla, OR
Other Businesses

TRUSTEE FOR PARENT'S TRUST, INV RELATED, WEST LINN, OR, START: 9/26/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-09
S63 Uniform Securities Agent State Law Examination 1996-04-01
  • S65 Uniform Investment Adviser Law Examination
    1998-03-09
  • S63 Uniform Securities Agent State Law Examination
    1996-04-01
Other Names
  • Stephanie Neumayer
  • Stephanie Marie Rood
  • Stephanie Marie Neumayer
  • Stephanie Marie Smith

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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MATTHEW PAUL STUTES
Kassin Mosbrucker
Peri L Tharp
Jeff Anton Nizich
CLINTON HANCOCK COLEMAN
SCOTT R WARNER

Other Offices

LPL FINANCIAL LLC · CANBY, OR
EDWARD JONES · CANBY, OR
U.S. BANCORP ADVISORS, LLC · Canby, OR
LPL FINANCIAL LLC · CANBY, OR
LPL FINANCIAL LLC · CANBY, OR
4:8 FINANCIAL · CANBY, OR
J.P. MORGAN SECURITIES LLC · CANBY, OR
CETERA INVESTMENT ADVISERS LLC · CANBY, OR

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