Jeffrey Smith, financial advisor Cottonwood Heights UT
58 score

Jeffrey Smith

CRD Number: 1093145
Current Firm: Wells Fargo Advisors Financial Network, LLC

Jeffrey Smith (CRD# 1093145) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Cottonwood Heights, UT and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network, LLC Cottonwood Heights, UT Sep 2015 - Current 1
Rbc Capital Markets Salt Lake City, UT Oct 2008 - Sep 2015 6
Ubs Financial Services Inc. Salt Lake Cit, UT May 2005 - Oct 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1983
S65 NASAA Investment Advisors Law Examination Mar 1994
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jeffrey G. Smith
Phone Number: 314-875-3000
Firm Website: http://www.wachovia.com
Registered State(s):
  • UT
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
58

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