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Detailed Report
PATRICK LOUIS SMITH
CRD#: 4702735
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Investment Adviser
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Previous Broker
BEARING POINT CAPITALCRD#: 332023 3800 American Blvd. West
Suite 935
Bloomington, MN 55431
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2011 (7 years)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - 2024 (8 years)IABEARING POINT CAPITAL (CRD# 332023)2024 - Present (<1 year)
License(s)

State Registrations

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Minnesota 8/5/2024
Current Registration(s)
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BEARING POINT CAPITAL (CRD#:332023)
3800 American Blvd. West Suite 935, Bloomington, MN 55431
Registered with this firm since 8/2/2024
Previous Registration(s)
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 11/13/2015 - 08/13/2024 MORGAN STANLEY (CRD#:149777) Bloomington, MN
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 11/13/2015 - 08/13/2024 MORGAN STANLEY (CRD#:149777) Bloomington, MN
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 01/03/2011 - 11/20/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) BLOOMINGTON, MN
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 01/03/2011 - 11/20/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) BLOOMINGTON, MN
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 02/19/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BLOOMINGTON, MN
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 01/22/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BLOOMINGTON, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.