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Laura Ann Smith

Wells Fargo Clearing Services, LLC

La Jolla, 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 2016-07-07
CA RA APPROVED 2009-02-03
  • TX RA
    APPROVED
    Since 2016-07-07
  • CA RA
    APPROVED
    Since 2009-02-03

Branch Locations

888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • 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 La Jolla CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc La Jolla CA 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2009-02-02
    Morgan Stanley & Co. Llc
    La Jolla, CA
  • 2006-11-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lajolla, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-10
  • S66 Uniform Combined State Law Examination
    2006-10-10
Other Names
  • Laura Ann Matter
  • Laura Ann Matter
  • Laura Ann Matter
  • Laura Ann Thomas

View on SEC IAPD

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David Michael Jude Curiel

Other Offices

ALPHACORE CAPITAL LLC · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · La Jolla, CA
WEDBUSH SECURITIES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
HAMILTON MANOR & ASSOCIATES · LA JOLLA, CA
TORREYANA CAPITAL · LA JOLLA, CA
INTEGRATED WEALTH CONCEPTS LLC · LA JOLLA, CA

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