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RIA / WealthAdvisor27 years in industry

Lauri Ann Smith

Advisor at TRAJAN WEALTH, L.L.C.

SCOTTSDALE, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 11, 1999 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: TRAJAN WEALTH, L.L.C.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 11, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 10, 2019
First registration: Mar 11, 1999
Dual registered: no
Other names: LAURI A WAISMAN|LAURI ANN WAISMAN|Lauri Ann Waisman
IAPD individual key: 3176583

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
TRAJAN WEALTH, L.L.C.	Independent wealth	Aug 31, 2026	n/a	yes	SCOTTSDALE, AZ	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Feb 2, 2026	Aug 28, 2026	no	LA JOLLA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 1, 2023	May 22, 2024	no	ST. LOUIS, MO\|SAN DIEGO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 11, 2022	May 22, 2024	no	ST. LOUIS, MO\|SAN DIEGO, CA\|San Diego, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 12, 2019	Jun 1, 2022	no	SAN DIEGO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	May 18, 2011	no	DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|HOUSTON, TX	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Feb 26, 2003	Oct 23, 2009	no	DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 11, 1999	Feb 3, 2003	no	DALLAS, TX	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	TRAJAN WEALTH, L.L.C.	Aug 28, 2026	Aug 31, 2026	3	Firm change	Other
WELLS FARGO ADVISORS	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	May 22, 2024	Feb 2, 2026	621	Firm change after gap	Other
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	May 22, 2024	Feb 1, 2023	-476	Channel change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jun 1, 2022	Aug 11, 2022	71	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	Feb 3, 2003	Feb 26, 2003	23	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
7691:19616:CA:2022-05-17	Jun 1, 2022	Aug 11, 2022	SAN DIEGO, CA	Firm change

Relationships

Registered with (6)

→ TRAJAN WEALTH, L.L.C.Registered adviserregistration: current employment
Aug 31, 2026 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Feb 2, 2026 to Aug 28, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 1, 2023 to May 22, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 11, 2022 to May 22, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 12, 2019 to Jun 1, 2022factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 26, 2003 to Oct 23, 2009factForm ADV

Dated events

Occurred
Aug 28, 2026
Advisor changed firm
Lauri Ann Smith left Northwestern Mutual Investment Services,Llc for Trajan Wealth, L.L.C. (registered 2026-08-31)
Form ADVobserved 6 days ago
Occurred
May 22, 2024
Advisor changed firm
Lauri Ann Smith left Wells Fargo Advisors for Northwestern Mutual Investment Services,Llc (registered 2026-02-02)
Form ADVobserved 6 days ago
Occurred
Jun 1, 2022
Advisor changed firm
Lauri Ann Smith left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2022-08-11)
Form ADVobserved 6 days ago