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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Harold Don Smith

Advisor at U.S. BANCORP ADVISORS, LLC

Tempe, AZ | Phoenix, AZ

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Search this name across graphsid dfx:ria:4ae275ad-2f62-8f3e-5604-bfaa6f4888bb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2014 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: U.S. BANCORP ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 5, 2000
First registration: Sep 19, 2014
Dual registered: yes, broker-dealer
Other names: Harold Don Smith|Harold Don Smith|Harold D Smith|Harold Smith
IAPD individual key: 4094105

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
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Aug 10, 2023	n/a	yes	Tempe, AZ\|Phoenix, AZ	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 22, 2021	Aug 8, 2023	no	MESA, AZ\|SCOTTSDALE, AZ\|MESA, AZ\|CHANDLER, AZ	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	May 23, 2019	Feb 26, 2021	no	Phoenix, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 19, 2014	Jan 31, 2019	no	CHANDLER, AZ\|CHANDLER, AZ\|CHANDLER, AZ	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	U.S. BANCORP ADVISORS, LLC	Aug 8, 2023	Aug 10, 2023	2	Firm change	Wirehouse to ibd
PRUCO SECURITIES, LLC	WELLS FARGO ADVISORS	Feb 26, 2021	Mar 22, 2021	24	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PRUCO SECURITIES, LLC	Jan 31, 2019	May 23, 2019	112	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 22, 2021 to Aug 8, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
May 23, 2019 to Feb 26, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 19, 2014 to Jan 31, 2019factForm ADV

Dated events

Occurred
Aug 8, 2023
Advisor changed firm
Harold Don Smith left Wells Fargo Advisors for U.S. Bancorp Advisors, Llc (registered 2023-08-10)
Form ADVobserved 5 days ago