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Detailed Report
CAROLYN SMITH LINK
CAROL SMITH LINK, CAROLYN ROSE SMITH, LINK CAROLYN SMITH, LINK SMITH, CAROLYN SMITHLINK
CRD#: 1347030
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 ONE N JEFFERSON AVE
ST. LOUIS, MO 63103
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2009 (3 years)2 FIRMS2011 - Present (13 years)IAWELLS FARGO ADVISORS (CRD# 11025)2018 - Present (7 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2010 - Present (14 years)BADP BROKER-DEALER, INC. (CRD# 37693)2009 - 2011 (1 year)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2005 - 2007 (1 year)BCITISTREET EQUITIES LLC (CRD# 7447)1988 - 2006 (17 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1987 - 1988 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1985 - 1987 (1 year)IAWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2011 - 2016 (5 years)IACITISTREET FINANCIAL SERVICES LLC (CRD# 107311)1995 - 2006 (10 years)
License(s)

State Registrations

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Alabama 1/9/2018
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Montana 1/9/2018
B
Alaska 1/9/2018
B
Nebraska 1/9/2018
B
Arizona 1/9/2018
B
Nevada 1/9/2018
B
Arkansas 1/9/2018
B
New Hampshire 1/9/2018
B
California 1/9/2018
B
New Jersey 1/9/2018
B
Colorado 1/9/2018
B
New Mexico 1/9/2018
B
Connecticut 1/9/2018
B
New York 1/9/2018
B
Delaware 1/9/2018
B
North Carolina 1/9/2018
B
District of Columbia 1/9/2018
B
North Dakota 1/9/2018
B
Florida 1/9/2018
B
Ohio 1/9/2018
B
Georgia 1/9/2018
B
Oklahoma 1/9/2018
B
Hawaii 1/9/2018
B
Oregon 1/9/2018
B
Idaho 1/9/2018
B
Pennsylvania 1/9/2018
B
Illinois 1/9/2018
B
Puerto Rico 1/9/2018
B
Indiana 1/9/2018
B
Rhode Island 1/9/2018
B
Iowa 1/9/2018
B
South Carolina 1/9/2018
B
Kansas 1/9/2018
B
South Dakota 1/9/2018
B
Kentucky 1/9/2018
B
Tennessee 1/9/2018
B
Louisiana 1/9/2018
B
Texas 1/9/2018
B
Maine 1/9/2018
IA
Texas 1/9/2018
B
Maryland 1/9/2018
B
Utah 1/9/2018
B
Massachusetts 1/9/2018
B
Vermont 1/9/2018
B
Michigan 1/9/2018
B
Virgin Islands 1/9/2018
B
Minnesota 1/9/2018
B
Washington 1/9/2018
B
Mississippi 1/9/2018
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West Virginia 1/9/2018
B
Missouri 12/7/2010
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Wisconsin 1/9/2018
IA
Missouri 6/23/2011
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Wyoming 1/9/2018

SRO Registrations

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 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 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)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
ST. LOUIS, MO
Registered with this firm since 1/9/2018
IA
WELLS FARGO ADVISORS (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
St. Louis, MO
Registered with this firm since 6/22/2011
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
ST. LOUIS, MO
Registered with this firm since 6/15/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
St. Louis, MO
Registered with this firm since 12/3/2010
Previous Registration(s)
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IA
 06/22/2011 - 12/31/2016 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
B
 07/13/2009 - 02/15/2011 ADP BROKER-DEALER, INC. (CRD#:37693) ROSELAND, NJ
IA
 11/28/2005 - 01/23/2009 METLIFE SECURITIES INC. (CRD#:14251) ST. LOUIS, MO
B
 11/28/2005 - 01/23/2009 METLIFE SECURITIES INC. (CRD#:14251) ST. LOUIS, MO
B
 11/28/2005 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) ST. LOUIS, MO
IA
 10/31/1995 - 01/10/2006 CITISTREET FINANCIAL SERVICES LLC (CRD#:107311) ALPHARETTA , GA
B
 02/19/1988 - 01/09/2006 CITISTREET EQUITIES LLC (CRD#:7447) SOMERSET, NJ
B
 03/23/1987 - 02/09/1988 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 05/22/1985 - 03/27/1987 DEAN WITTER REYNOLDS INC. (CRD#:7556)
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.