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Philip Edwin Rogers

Wells Fargo Clearing Services, LLC

Fresno, CA

Modesto, CA

Merced, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-09-30
  • CA RA
    APPROVED
    Since 2019-09-30

Branch Locations

6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • United States

1120 K St, Modesto, CA 95354 • United States

555 W 18Th St, Merced, CA 95340 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Na Merced CA 05/2009 09/2019
Wells Fargo Clearing Services, Llc Fresno CA 09/2019 Present
Previous Registrations
  • 2012-10-01 → 2019-10-10
    J.P. Morgan Securities Llc
    Merced, CA
    Merced, CA
    Atwater, CA
    Oakdale, CA
    Riverbank, CA
    Riverbank, CA
    Modesto, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Merced, CA
    Los Banos, CA
    Atwater, CA
    Merced, CA
    Merced, CA
  • 2008-10-03 → 2009-05-02
    Wamu Investments, Inc.
    Merced, CA
    Los Banos, CA
    Merced, CA
  • 2005-01-05 → 2008-10-02
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Modesto, CA
    Modesto, CA
  • 2002-10-10 → 2005-01-05
    Morgan Stanley Dw Inc.
    Modesto, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-29
  • S66 Uniform Combined State Law Examination
    2002-08-29
Other Names
  • Phil Edwin Rogers
  • Philip Edwin Rogers
  • Phil Edwin Rogers
  • Phil Rogers
  • Phillip Edwin Rogers
  • Philip Rogers Sr

View on SEC IAPD

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