Carol Smith

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Santa Fe, NM
• 11/2016 → 02/2021
  Wells Fargo Clearing Services, Llc
  Santa Fe, NM
• 02/2021 → 03/2024
  Wells Fargo Advisors Financial Network, Llc
  Santa Fe, NM
• 03/2024 → Present
  Wells Fargo Advisors Financial Network, Llc
  Incline Villiage, NV

Previous Registrations

• 2009-02-09 → 2021-02-19
  Wells Fargo Clearing Services, Llc
  Santa Fe, NM
• 2007-04-02 → 2009-02-09
  Morgan Stanley & Co. Llc
  Santa Fe, NM
• 1999-06-21 → 2007-04-02
  Morgan Stanley Dw Inc.
  Santa Fe, NM
  Santa Fe, NM

Other Businesses

TRUSTEE FOR PARENTS TRUST; INV. RELATED; SANTA FE, NM; START 2/19/2021; 1 HR PER MONTH; 0 HRS DURING TRADING. ADVANCED WEALTH MGMT LLC, INV RELATED, SANTA FE, NM, 100% OWNERSHIP, START 2/1/2021, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE.; TRUSTEE FOR ADVANCED WEALTH MANAGEMENT LLC DBP, INV RELATED, SANTA FE, NM, START: 10/14/2022, LESS THAN 1 HOUR PER MONTH, 0 HOURS DURING TRADING, FINET PRACTICE DBP.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-05
• S63 Uniform Securities Agent State Law Examination
  1999-02-26

Other Names

• Carol Ann Romero
• Carol Ann Smith