Gates Mcdonald Smallwood

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

• 06/2011 → 04/2018
  Duncan-Williams, Inc.
  Memphis, TN
• 04/2018 → Present
  Wells Fargo Clearing Services, Llc
  Birmingham, AL

Other Businesses

SWAYZE'S CLAY COVERED GHOST HANDS LLC DBA SMALLWOOD CERAMICS, NOT INV RELATED,MOUNTAIN BROOK, AL, 100% OWNERSHIP, START 4/24/2020, 20 HOURS PER MONTH, ZERO DURING TRADING, CERAMICS SALES.

Exams

• S66 Uniform Combined State Law Examination
  2018-05-23
• S63 Uniform Securities Agent State Law Examination
  2011-09-01