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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

MARK SMITH

Advisor at WELLS FARGO ADVISORS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f90a2a1-0f3a-b8ac-d3f5-12958e85a897

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2011 to Sep 15, 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: May 2, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 2, 2008
First registration: Oct 11, 2011
Dual registered: yes, broker-dealer
Other names: MARK EDWARD SMITH
IAPD individual key: 4964217

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	Jul 20, 2016	n/a	yes	ST. LOUIS, MO\|WAYZATA, MN\|HERMANTOWN, MN\|NEW PRAGUE, MN\|HUTCHINSON, MN\|SAINT CHARLES, MO	Current employment
WELLS FARGO ADVISORS	Wirehouse	Oct 3, 2013	Jul 20, 2016	no	ST. LOUIS, MO\|ST. LOUIS, MO	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Nov 3, 2011	Sep 30, 2013	no	ST. LOUIS, MO\|ST. LOUIS, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 11, 2011	Oct 26, 2011	no	ST. LOUIS, MO	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
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jul 20, 2016	Jul 20, 2016	0	Channel change	Wirehouse to wirehouse
STIFEL, NICOLAUS & COMPANY, INCORPORATED	WELLS FARGO ADVISORS	Sep 30, 2013	Oct 3, 2013	3	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Oct 26, 2011	Nov 3, 2011	8	Firm change	Wirehouse to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:11025:MO:2016-07-15	Jul 20, 2016	Jul 20, 2016	ST LOUIS, MO	Firm change

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jul 20, 2016 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 3, 2013 to Jul 20, 2016factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Nov 3, 2011 to Sep 30, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f90a2a1-0f3a-b8ac-d3f5-12958e85a897
First observed: Oct 11, 2011
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MARK SMITH

Advisor at WELLS FARGO ADVISORS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f90a2a1-0f3a-b8ac-d3f5-12958e85a897

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

WELLS FARGO ADVISORS

Wirehouse

Jul 20, 2016

n/a

yes

Current employment

WELLS FARGO ADVISORS

Wirehouse

Oct 3, 2013

Jul 20, 2016

ST. LOUIS, MO|ST. LOUIS, MO

Previous registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

National bd RIA

Nov 3, 2011

Sep 30, 2013

ST. LOUIS, MO|ST. LOUIS, MO

Previous registration

WELLS FARGO ADVISORS

Wirehouse

Oct 11, 2011

Oct 26, 2011

ST. LOUIS, MO

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

Jul 20, 2016

Channel change

Wirehouse to wirehouse

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO ADVISORS

Sep 30, 2013

Oct 3, 2013

Firm change

Ibd to wirehouse

WELLS FARGO ADVISORS

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Oct 26, 2011

Nov 3, 2011

Firm change

Wirehouse to ibd

Team

Left

Joined

From

Kind

19616:11025:MO:2016-07-15

Jul 20, 2016

ST LOUIS, MO

Firm change