Best Investors Account Sign in

Stephen Benjamin Root

Wells Fargo Clearing Services, LLC

Annapolis, MD

Claim This Profile
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 2009-04-17
MD RA APPROVED 2009-03-10
  • TX RA
    APPROVED_RES
    Since 2009-04-17
  • MD RA
    APPROVED
    Since 2009-03-10

Branch Locations

2661 Riva Rd Ste 1020, Annapolis, MD 21401 • 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
Wells Fargo Advisors Llc Annapolis MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Annapolis MD 11/2016 Present
Previous Registrations
  • 2006-02-21 → 2009-03-24
    Citigroup Global Markets Inc.
    Annapolis, MD
    New York, NY
    Annapolis, MD
  • 2005-07-12 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Annapolis, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-11
  • S66 Uniform Combined State Law Examination
    2005-07-11
Other Names
  • Stephen B. Root

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CETERA INVESTMENT ADVISERS LLC
RCS FINANCIAL PLANNING, LLC
MARINER INDEPENDENT
EQUITABLE ADVISORS, LLC
EDWARD JONES
LPL FINANCIAL LLC

Other Investors

Robert E Saunders
DONALD WILLIAM COLLETT
LEE DONALD BOLLHORST
JAMES WILSON THOMAS
Stefen Thomas Main
SAMANTHA MARIE LONG
Daniel Maris Beigel
JOSEPH WALLACE DUBINSKI

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD
CETERA INVESTMENT ADVISERS LLC · Annapolis, MD
RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD
MARINER INDEPENDENT · Annapolis, MD
EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD
WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

More in Annapolis, MD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor