Roger Alan Nelson

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-04-27
CA	RA	APPROVED	2020-10-28

TX RA
APPROVED_RES

Since 2026-04-27
CA RA
APPROVED

Since 2020-10-28

Branch Locations

2940 Ocean Park Blvd, Santa Monica, CA 90405 • United States

350 W Colorado Blvd Ste 390 [Ll-Rbo], Pasadena, CA 91105 • United States

6800 Van Nuys Blvd, Van Nuys, CA 91405 • United States

900 Montana Ave, Santa Monica, CA 90403 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank Na	Lake Charles	LA	02/2010	09/2016
J.P. Morgan Securities Llc	Studio City	CA	10/2012	09/2016
Wells Fargo Advisors Llc	Los Angeles	CA	10/2016	11/2016
Wells Fargo Bank, Na	Los Angeles	CA	09/2016	Present
Wells Fargo Clearing Services, Llc	Los Angeles	CA	11/2016	Present

02/2010 → 09/2016

Jpmorgan Chase Bank Na

Lake Charles, LA
10/2012 → 09/2016

J.P. Morgan Securities Llc

Studio City, CA
10/2016 → 11/2016

Wells Fargo Advisors Llc

Los Angeles, CA
09/2016 → Present

Wells Fargo Bank, Na

Los Angeles, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-10-28
S63	Uniform Securities Agent State Law Examination	2011-06-30

S65 Uniform Investment Adviser Law Examination

2020-10-28
S63 Uniform Securities Agent State Law Examination

2011-06-30

Other Names

Roger A Nelson
Roger Nelson