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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JOSEPH BRADLEY SMITH

Advisor at WELLS FARGO ADVISORS

BATON ROUGE, LA

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Search this name across graphsid dfx:ria:365a85fb-4dc4-e595-2428-d32224025d37

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Jul 19, 1999
First registration: Jan 9, 2003
Dual registered: yes, broker-dealer
Other names: BRAD SMITH|JOSEPH BRADLEY SMITH
IAPD individual key: 2895816

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	May 13, 2019	n/a	yes	BATON ROUGE, LA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 14, 2019	no	Baton Rouge, LA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 25, 2006	Jun 1, 2009	no	BATON ROUGE, LA	Previous registration
CAPITAL ONE INVESTMENTS, LLC	n/a	Jan 9, 2003	Sep 3, 2004	no	DENHAM SPRINGS, LA\|DENHAM SPRINGS, LA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	WELLS FARGO ADVISORS	May 14, 2019	May 13, 2019	-1	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CAPITAL ONE INVESTMENTS, LLC	CITIGROUP GLOBAL MARKETS INC.	Sep 3, 2004	Apr 25, 2006	599	Firm change after gap	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
May 13, 2019 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 14, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 25, 2006 to Jun 1, 2009factForm ADV
→ CAPITAL ONE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 9, 2003 to Sep 3, 2004factForm ADV

Dated events

No dated event names this entity yet.