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JEFFREY MARSHALL SMITH
JEFF SMITH, JEFFREY M SMITH
CRD#: 1176017
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 433 N CAMDEN DR 9TH & 12TH FLS
[LA-RBO]
BEVERLY HILLS, CA 90210
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (14 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2003 - 2004 (1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)1999 - 2003 (4 years)BSECURITY PACIFIC INVESTMENTS, INC. (CRD# 12965)1985 - 1989 (4 years)BSECURITY PACIFIC INVESTMENTS, INC. (CRD# 12965)1984 - 1989 (5 years)IADEUTSCHE INVESTMENT MANAGEMENT... (CRD# 104518)2001 - 2004 (3 years)
License(s)

State Registrations

B
Arizona 1/3/2011

B
Nevada 1/3/2011

B
California 1/3/2011

B
New York 1/3/2011

IA
California 1/3/2011

B
Tennessee 8/17/2021

B
Colorado 10/13/2022

B
Texas 1/3/2011

B
Delaware 7/15/2022

IA
Texas 10/26/2016

B
Idaho 10/20/2015

B
Utah 10/31/2024

B
Massachusetts 1/3/2011

B
Washington 1/3/2011

B
Minnesota 1/3/2011

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
433 N CAMDEN DR 9TH & 12TH FLS [LA-RBO], BEVERLY HILLS, CA 90210
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
433 N CAMDEN DR 9TH & 12TH FLS [LA-RBO], BEVERLY HILLS, CA 90210
Registered with this firm since 1/3/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/07/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BEVERLY HILLS, CA
B
03/07/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BEVERLY HILLS, CA
IA
11/10/2004 - 02/20/2007 NEUBERGER BERMAN, LLC (CRD#:2908) LOS ANGELES, CA
B
11/10/2004 - 02/20/2007 NEUBERGER BERMAN, LLC (CRD#:2908) LOS ANGELES, CA
IA
03/15/2001 - 12/01/2004 DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (CRD#:104518) LOS ANGELES, CA
B
10/21/2003 - 10/26/2004 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
05/20/1999 - 10/21/2003 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
09/17/1985 - 09/01/1989 SECURITY PACIFIC INVESTMENTS, INC. (CRD#:12965)
B
01/26/1984 - 09/01/1989 SECURITY PACIFIC INVESTMENTS, INC. (CRD#:12965) OAKLAND, CA
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Broker
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Investment Adviser
Disclosures
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