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LAWRENCE SMITH
LARRY SMITH, LAWRENCE EUGENE SMITH
CRD#: 1217004
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 520 NEWPORT CENTER DR STE 1700
NEWPORT BEACH, CA 92660
Registration History
1985199019952000200520102015202020252 FIRMS2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1990 - 2021 (30 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1990 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2021 (24 years)
License(s)

State Registrations

B
Arizona 7/28/2021

B
Missouri 7/28/2021

B
Arkansas 7/28/2021

B
Nevada 7/28/2021

B
California 7/28/2021

B
New Jersey 7/28/2021

IA
California 7/28/2021

B
New York 7/28/2021

B
Colorado 7/28/2021

B
Oregon 7/28/2021

B
Delaware 7/28/2021

B
Pennsylvania 7/28/2021

B
Florida 7/28/2021

B
Tennessee 7/28/2021

B
Hawaii 7/28/2021

B
Texas 7/28/2021

B
Idaho 7/28/2021

IA
Texas 7/28/2021

B
Illinois 9/11/2024

B
Utah 7/28/2021

B
Indiana 7/28/2021

B
Virginia 7/28/2021

B
Massachusetts 7/28/2021

B
Wisconsin 7/28/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

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)
520 NEWPORT CENTER DR STE 1700, NEWPORT BEACH, CA 92660
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 7/28/2021

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
520 NEWPORT CENTER DR STE 1700, NEWPORT BEACH, CA 92660
135 S STATE COLLEGE BLVD STE 550, BREA, CA 92821
Registered with this firm since 7/28/2021

Previous Registration(s)
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IA
07/08/1997 - 08/06/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) BREA, CA
B
11/30/1990 - 08/06/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) BREA, CA
B
01/19/1984 - 12/04/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.