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Cari Beth Rothfeld

Wells Fargo Clearing Services, LLC

Bee Cave, TX

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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 2015-02-17
  • TX RA
    APPROVED
    Since 2015-02-17

Branch Locations

13215 Bee Cave Pkwy Ste 150, Bldg A, Bee Cave, TX 78738 • 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 Austin TX 11/2014 11/2016
Wells Fargo Clearing Services, Llc Austin TX 11/2016 Present
Other Businesses

DRESS FOR SUCCESS AUSTIN ; INV RELATED; AUSTIN,TX; EMPOWER WOMEN; TREASURER; START DATE: 01/12/2026; 2 HRS PER MONTH; 2 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-17
S63 Uniform Securities Agent State Law Examination 2012-10-19
  • S66 Uniform Combined State Law Examination
    2015-02-17
  • S63 Uniform Securities Agent State Law Examination
    2012-10-19
Other Names
  • Cari Beth Peterson
  • Ritchy Scoggin
  • Zac Scoggin

View on SEC IAPD

Other Firms

&PARTNERS
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CHIMNEY ROCK EQUITY PARTNERS
COMPENDIUM WEALTH ADVISORS, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
LPL FINANCIAL LLC
PEAK ROCK CAPITAL LLC
SANCTUARY ADVISORS, LLC

Other Investors

RITCHY GUY SCOGGIN
CHERI D HARTMAN
David Nicolas Gonzaga
AMIT BATTISH
JOSEPH ANTON JERMAN
NATIA RAGE
BRIAN DANIEL WIESE
ASHLEY NICOLE PIGG

Other Offices

&PARTNERS · Bee Cave, TX
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BEE CAVE, TX
CHIMNEY ROCK EQUITY PARTNERS · AUSTIN, TX
COMPENDIUM WEALTH ADVISORS, LLC · AUSTIN, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bee Cave, TX
LPL FINANCIAL LLC · BEE CAVE, TX
PEAK ROCK CAPITAL LLC · AUSTIN, TX
SANCTUARY ADVISORS, LLC · Austin, TX

More in Bee Cave, TX

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