Stuart Smith is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Rockwall, TX, with 31 years of industry experience. Stuart is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
2970 Horizon Rd, Rockwall, TX, 75032
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Stuart serves as an arbitrator in New York, NY, starting in January 2024. This involves hearing cases, studying evidence, and rendering decisions, taking minimal time.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Prudential Annuities Distributors, INCBroker
Fidelity Investments Institutional Services Company, INC.Broker
Midamerica Financial Services, INC.Broker
Patrick Capital Markets, LLCBroker
Capital Brokerage CorporationBroker
Allstate Distributors, L.L.C.Broker
Allstate Life Financial Services, INC.Broker
Putnam Mutual Funds CORP.Broker
Advantage Capital CorporationBroker
American Capital Marketing, INC.Broker
H.D. Vest Investment Securities, INC.Broker
American Capital Marketing, INC.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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