Lori Smith, financial advisor Joplin MO
96 score

Lori Smith

CRD Number: 4541675
Current Firm: Wells Fargo Advisors, LLC

Lori Smith (CRD# 4541675) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Joplin, MO and has over 14 years of experience in the finance industry. Lori Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Advisors LLC Joplin, MO May 2009 - Current 7
Wachovia Securities, LLC Joplin, MO Jan 2008 - May 2009 1
A.g. Edwards Joplin, MO Dec 2005 - Jan 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2002
S66 NASAA Uniform Combined State Law Examination Feb 2006
Contact Info for Lori Smith
Phone Number: 314-875-3000
Registered State(s):
  • GA
  • MO
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
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
96
Clean Record
This advisor has a clean track record with regulators.

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