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Mark A Smith

Wells Fargo Clearing Services, LLC

Charlotte, NC

St. Louis, MO

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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
NC RA APPROVED 2024-10-22
  • NC RA
    APPROVED
    Since 2024-10-22

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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
Morgan Stanley & Co., Incorporated Purchase NY 04/2007 04/2024
Morgan Stanley Smith Barney Purchase NY 06/2009 04/2024
Wells Fargo Clearing Services Charlotte NC 09/2024 Present
N/A Aurora OH 04/2024 09/2024
  • 04/2007 → 04/2024
    Morgan Stanley & Co., Incorporated
    Purchase, NY
  • 06/2009 → 04/2024
    Morgan Stanley Smith Barney
    Purchase, NY
  • 09/2024 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
  • 04/2024 → 09/2024
    N/A
    Aurora, OH
Previous Registrations
  • 2009-06-01 → 2024-05-09
    Morgan Stanley
    Purchase, NY
    Beachwood, OH
    Pepper Pike, OH
    Hudson, OH
  • 2009-01-13 → 2009-06-01
    Morgan Stanley & Co. Llc
    Beachwood, OH
    New York, NY
    Purchase, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-16
S63 Uniform Securities Agent State Law Examination 1986-10-23
  • S65 Uniform Investment Adviser Law Examination
    2009-02-16
  • S63 Uniform Securities Agent State Law Examination
    1986-10-23
Other Names
  • Mark Anthony Smith

View on SEC IAPD

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