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Vicki Ann Smith

Wells Fargo Clearing Services, LLC

Williamsburg, VA

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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
VA RA APPROVED 2011-09-07
TX RA APPROVED_RES 2011-08-31
  • VA RA
    APPROVED
    Since 2011-09-07
  • TX RA
    APPROVED_RES
    Since 2011-08-31

Branch Locations

428 Mclaws Circle Ste 100, Williamsburg, VA 23185 • 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 Williamsburg VA 08/2011 11/2016
Wells Fargo Clearing Services, Llc Williamsburg VA 11/2016 Present
Other Businesses

TRUSTEE FOR SISTER; INVESTMENT RELATED; ROCKFORD, IL; START DATE = 12/27/2001.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-03
S63 Uniform Securities Agent State Law Examination 1987-05-18
  • S65 Uniform Investment Adviser Law Examination
    2011-11-03
  • S63 Uniform Securities Agent State Law Examination
    1987-05-18
Other Names
  • Vicki Ann Brown

View on SEC IAPD

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DAVID ROSS CLEMENS
PETER JAMES KOKOLIS
JOHN JAMES KOKOLIS
LARRY STEPHEN GOLUB

Other Offices

MORGAN STANLEY · Williamsburg, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WILLIAMSBURG, VA
AMERIPRISE FINANCIAL SERVICES, LLC · Williamsburg, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Willliamsburg, VA
TENZING FINANCIAL LLC · WILLIAMSBURG, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Williamsburg, VA
LEVEL FOUR ADVISORY SERVICES · WILLIAMSBURG, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Williamsburg, VA

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