Individual Firm
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TYSON BOYD SMITH
CRD#: 5222683
IA
B
WELLS FARGO ADVISORSCRD#: 19616 460 CENTRAL WAY
KIRKLAND, WA 98033
KIRKLAND, WA 98033
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6/30/2014
Judgment / Lien
State Registrations
B
Arizona 4/17/2019
B
Nevada 10/7/2020
B
California 1/23/2018
B
New Jersey 7/9/2024
B
Florida 3/25/2021
B
Ohio 8/26/2023
B
Hawaii 8/12/2021
B
Oregon 6/18/2019
B
Idaho 7/22/2019
B
Tennessee 9/21/2021
B
Iowa 8/28/2023
B
Utah 7/23/2019
B
Massachusetts 2/1/2018
B
Washington 8/4/2016
B
Michigan 2/7/2022
IA
Washington 8/4/2016
B
Montana 8/21/2023
SRO Registrations
B
B
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/4/2016
B
Registered with this firm since 8/4/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 08/15/2016 | SEATTLE, WA | |
B | 10/01/2012 - 08/15/2016 | SEATTLE, WA | |
IA | 01/20/2012 - 10/01/2012 | SEATTLE, WA | |
B | 01/20/2012 - 10/01/2012 | SEATTLE, WA | |
IA | 01/10/2007 - 09/01/2011 | HAYDEN, ID | |
B | 11/07/2006 - 09/01/2011 | HAYDEN, ID |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.