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Cara Smith

Wells Fargo Clearing Services, LLC

Westlake Village, CA

St. Louis, MO

Tacoma, WA

CRD 5624754

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2026-06-24
TX RA APPROVED_RES 2026-06-03
  • CA RA
    APPROVED
    Since 2026-06-24
  • TX RA
    APPROVED_RES
    Since 2026-06-03

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

1201 Pacific Ave, Tacoma, WA 98402 • 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 Bank, N.A. Westlake Village CA 07/2018 02/2022
Wells Fargo Bank, N.A. Westlake Village CA 10/2015 07/2018
Wells Fargo Bank, N.A. Westlake Village CA 02/2022 Present
  • 07/2018 → 02/2022
    Wells Fargo Bank, N.A.
    Westlake Village, CA
  • 10/2015 → 07/2018
    Wells Fargo Bank, N.A.
    Westlake Village, CA
  • 02/2022 → Present
    Wells Fargo Bank, N.A.
    Westlake Village, CA
Previous Registrations
  • 2011-01-03 → 2015-11-10
    Wells Fargo Clearing Services, Llc
    Westlake Village, CA
    Minneapolis, MN
  • 2009-04-06 → 2011-01-03
    Wells Fargo Investments, Llc
    Simi Valley, CA
    Westlake Village, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-06-24
  • S66 Uniform Combined State Law Examination
    2026-06-24
Other Names
  • Cara Leilani Grance

View on SEC IAPD

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Nearby Investors

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Nearby Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA

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