Individual Firm
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MICHAEL SCOTT SMITH
M. SCOTT SMITH
CRD#: 5344859
IA
B
WELLS FARGO ADVISORSCRD#: 19616 299 S MAIN ST 7TH FL
[MK/ME-RBO]
SALT LAKE CITY, UT 84111
[MK/ME-RBO]
SALT LAKE CITY, UT 84111
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5/3/2016
Customer Dispute
Denied
4/3/2012
Customer Dispute
Denied
State Registrations
B
Arizona 1/17/2018
B
Nebraska 5/6/2021
B
Arkansas 2/19/2016
B
New Jersey 10/31/2024
B
California 2/19/2016
B
New Mexico 4/26/2018
B
Colorado 2/19/2016
B
New York 7/2/2024
IA
Colorado 2/19/2016
B
North Carolina 4/7/2022
B
Florida 7/5/2017
B
North Dakota 3/30/2022
B
Georgia 2/15/2024
B
Ohio 12/21/2020
B
Hawaii 7/1/2020
B
Pennsylvania 10/9/2024
B
Illinois 7/12/2022
B
South Carolina 10/28/2021
B
Indiana 11/22/2024
B
Tennessee 10/9/2023
B
Iowa 5/20/2020
B
Texas 2/16/2018
B
Kansas 2/19/2016
IA
Texas 2/16/2018
B
Maryland 8/13/2024
B
Utah 3/8/2017
B
Massachusetts 9/6/2022
IA
Utah 9/17/2020
B
Minnesota 3/3/2016
B
Virginia 2/26/2016
B
Missouri 9/5/2023
B
Washington 3/3/2016
B
Montana 12/5/2016
B
Wyoming 12/6/2024
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 2/19/2016
B
Registered with this firm since 2/19/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 03/01/2016 | LITTLETON, CO | |
B | 10/01/2012 - 03/01/2016 | LITTLETON, CO | |
IA | 12/09/2008 - 10/01/2012 | LITTLETON, CO | |
B | 06/13/2007 - 10/01/2012 | LITTLETON, CO |
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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.
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.