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Stacey Ann Roman

Wells Fargo Clearing Services, LLC

Short Hills, NJ

Tarpon Springs, FL

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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
TX RA APPROVED_RES 2022-08-10
NJ RA APPROVED 2006-02-16
  • TX RA
    APPROVED_RES
    Since 2022-08-10
  • NJ RA
    APPROVED
    Since 2006-02-16

Branch Locations

51 John F Kennedy Pkwy 5Th Fl [J1/J2/J5-Rbo], Short Hills, NJ 07078 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wachovia Bank, N.A. Summit NJ 12/2005 Present
Wells Fargo Advisors Llc Summit NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Summit NJ 11/2016 Present
  • 12/2005 → Present
    Wachovia Bank, N.A.
    Summit, NJ
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Summit, NJ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Summit, NJ
Previous Registrations
  • 2004-10-20 → 2006-02-03
    Banc Of America Investment Services, Inc.
    West Caldwell, NJ
    Upper Montclair, NJ
  • 2004-08-09 → 2004-10-20
    Quick & Reilly, Inc.
    Upper Montclair, NJ
  • 2002-08-22 → 2004-06-03
    Morgan Stanley Dw Inc.
    Rockaway, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-21
  • S66 Uniform Combined State Law Examination
    2002-08-21
Other Names
  • Stacey Ann Roman
  • Stacey Ann Malcolm

View on SEC IAPD

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DUSHYANT PANDIT

Other Offices

LPL FINANCIAL LLC · SHORT HILLS, NJ
RIDGEWOOD INVESTMENTS · SPRINGFIELD, NJ
J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ
DORCHESTER ADVISORS LLC · SHORT HILLS, NJ
ESTEE ADVISORS LLC · SHORT HILLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SHORT HILLS, NJ
UNITED SUCCESS WEALTH MANAGEMENT · SHORT HILLS, NJ
TRANSAMERICA FINANCIAL ADVISORS, LLC · SHORT HILLS, NJ

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