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Joseph Smith

Wells Fargo Advisors
28 Years of Experience
Baton Rouge, LA
1 DisclosureBroker
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Joseph Smith is a registered investment advisor at Wells Fargo Advisors, based in Baton Rouge, LA, with 28 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4242 advisors
IM Fee
Planning only
Assets Under Management
$252.3B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

8675 Bluebonnet Blvd, Ste B, Baton Rouge, LA, 70810

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph owns Proview Wealth Management and dedicates nearly full-time hours to the firm. He spends all of his time during trading hours on this investment-related activity for his financial practice.

Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
May 2019 - Present · 7 yrs 5 mos
Wells Fargo Advisors
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Morgan Stanley
June 2009 - May 2019 · 9 yrs 11 mos
Morgan StanleyBroker
June 2009 - May 2019 · 9 yrs 11 mos
Citigroup Global Markets INC.Broker
April 2006 - June 2009 · 3 yrs 2 mos
Citigroup Global Markets INC.
April 2006 - June 2009 · 3 yrs 2 mos
Hibernia Investments, L.L.C.
January 2003 - September 2004 · 1 yr 8 mos
Hibernia Investments, L.L.C.Broker
February 1999 - April 2006 · 7 yrs 2 mos
Pruco Securities CorporationBroker
June 1997 - June 1998 · 1 yr
State Registrations13 states
ALARCOFLGALAMSNCNMPASCTNTX
AdvisorBrokerBoth

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
No exam information available for this advisor.
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