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Detailed Report
LAURA ANN SMITH
LAURA ANN MATTER, LAURA ANN THOMAS
CRD#: 5196345
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 888 PROSPECT ST STES 301 & 320
LA JOLLA, CA 92037
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)
License(s)

State Registrations

B
Arizona 5/4/2016
B
Nevada 1/30/2009
B
Arkansas 1/31/2024
B
New Hampshire 6/15/2020
B
California 1/30/2009
B
New Jersey 7/7/2016
IA
California 2/3/2009
B
New Mexico 9/4/2019
B
Colorado 10/4/2019
B
New York 9/16/2011
B
Florida 9/4/2019
B
North Carolina 12/9/2013
B
Georgia 1/2/2015
B
Ohio 11/4/2013
B
Hawaii 1/10/2022
B
Oregon 2/12/2014
B
Illinois 9/4/2019
B
Pennsylvania 7/7/2016
B
Indiana 10/9/2023
B
South Carolina 1/24/2023
B
Louisiana 7/7/2016
B
Tennessee 6/8/2021
B
Maine 3/10/2021
B
Texas 7/7/2016
B
Maryland 8/14/2020
IA
Texas 7/7/2016
B
Massachusetts 4/8/2013
B
Virginia 3/30/2021
B
Michigan 1/25/2024
B
Washington 2/13/2024

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

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#:19616)
888 PROSPECT ST STES 301 & 320, LA JOLLA, CA 92037
Registered with this firm since 2/3/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
888 PROSPECT ST STES 301 & 320, LA JOLLA, CA 92037
Registered with this firm since 1/30/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LA JOLLA, CA
B
 04/02/2007 - 02/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LA JOLLA, CA
IA
 11/20/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LAJOLLA, CA
B
 09/26/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LAJOLLA, CA
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.