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Detailed Report
CAROL SMITH
CAROL ANN ROMERO, CAROL ANN SMITH
CRD#: 1259745
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 926 INCLINE WAY SUITE 250
[SATELLITE]
INCLINE VILLAGE, NV 89451
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2007 (8 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2021 (12 years)2 FIRMS2021 - Present (4 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1999 - 1999 (<1 year)
License(s)

State Registrations

B
Arizona 2/19/2021
B
Nevada 2/19/2021
B
California 2/19/2021
IA
Nevada 3/12/2024
B
Colorado 2/19/2021
B
New Mexico 2/19/2021
B
Delaware 2/19/2021
IA
New Mexico 2/22/2021
B
Florida 2/19/2021
B
New York 2/19/2021
B
Illinois 2/19/2021
B
North Carolina 10/28/2022
B
Kentucky 2/19/2021
B
Oklahoma 2/19/2021
B
Louisiana 2/19/2021
B
Oregon 2/19/2021
B
Maryland 2/19/2021
B
Tennessee 2/19/2021
B
Massachusetts 5/26/2021
B
Texas 2/19/2021
B
Missouri 2/19/2021
IA
Texas 2/21/2021
B
Montana 3/7/2023
B
Washington 2/19/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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#:11025)
926 INCLINE WAY SUITE 250 [SATELLITE], INCLINE VILLAGE, NV 89451
414 OLD TAOS HWY [SATELLITE], SANTA FE, NM 87501
Registered with this firm since 2/21/2021
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
926 INCLINE WAY SUITE 250 [SATELLITE], INCLINE VILLAGE, NV 89451
414 OLD TAOS HWY [SATELLITE], SANTA FE, NM 87501
Registered with this firm since 2/19/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/09/2009 - 02/19/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SANTA FE, NM
B
 01/16/2009 - 02/19/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SANTA FE, NM
IA
 04/02/2007 - 02/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA FE, NM
B
 04/02/2007 - 02/09/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA FE, NM
IA
 06/21/1999 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SANTA FE, NM
B
 04/26/1999 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SANTA FE, NM
B
 03/16/1999 - 05/05/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.