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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

JEFFREY MARSHALL SMITH

Advisor at WELLS FARGO ADVISORS

BEVERLY HILLS, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2001 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: Jun 7, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 7, 1999
First registration: Mar 15, 2001
Dual registered: yes, broker-dealer
Other names: JEFF SMITH|JEFFREY M SMITH
IAPD individual key: 1176017

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	Jan 3, 2011	n/a	yes	BEVERLY HILLS, CA	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Mar 7, 2007	Jan 3, 2011	no	BEVERLY HILLS, CA\|LOS ANGELES, CA	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Nov 10, 2004	Feb 20, 2007	no	LOS ANGELES, CA\|NEW YORK, NY\|LOS ANGELES, CA	Previous registration
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	Other adviser	Mar 15, 2001	Dec 1, 2004	no	LOS ANGELES, CA	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 INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
NEUBERGER BERMAN BD LLC	WELLS FARGO INVESTMENTS, LLC	Feb 20, 2007	Mar 7, 2007	15	Firm change	Other
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	NEUBERGER BERMAN BD LLC	Dec 1, 2004	Nov 10, 2004	-21	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 7, 2007 to Jan 3, 2011factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Nov 10, 2004 to Feb 20, 2007factForm ADV
→ DWS INVESTMENT MANAGEMENT AMERICAS, INC.Registered adviserregistration: previous registration
Mar 15, 2001 to Dec 1, 2004factForm ADV

Dated events

No dated event names this entity yet.