Best Investors Account Sign in

David Rougeau

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

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 2025-07-21
NC RA APPROVED 2023-06-05
  • TX RA
    APPROVED
    Since 2025-07-21
  • NC RA
    APPROVED
    Since 2023-06-05

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

9808 Rea Rd, Charlotte, NC 28277 • 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
First Citizens Investor Services Raleigh NC 03/2015 01/2019
First Citizens Bank Charlotte NC 01/2019 01/2022
First Citizens Investor Services Raleigh NC 01/2019 01/2022
First Citizens Investor Services Raleigh NC 01/2022 Present
First Citizens Bank Charlotte NC 01/2006 01/2019
Wells Fargo Clearing Services, Llc Raleigh NC 06/2023 Present
  • 03/2015 → 01/2019
    First Citizens Investor Services
    Raleigh, NC
  • 01/2019 → 01/2022
    First Citizens Bank
    Charlotte, NC
  • 01/2019 → 01/2022
    First Citizens Investor Services
    Raleigh, NC
  • 01/2022 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 01/2006 → 01/2019
    First Citizens Bank
    Charlotte, NC
  • 06/2023 → Present
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-15
S63 Uniform Securities Agent State Law Examination 2015-05-08
  • S66 Uniform Combined State Law Examination
    2021-12-15
  • S63 Uniform Securities Agent State Law Examination
    2015-05-08
Other Names
  • Dave Martin Rougeau
  • David Martin Rougeau

View on SEC IAPD

Other Firms

FIRST TRYON ADVISORS
MUIRFIELD WEALTH ADVISORS LLC
MAI CAPITAL MANAGEMENT, LLC
LPL FINANCIAL LLC
ARKADIOS WEALTH ADVISORS
MODERA WEALTH MANAGEMENT, LLC
TLG ADVISORS, INC.
CAPITALA PRIVATE ADVISORS, LLC

Other Investors

JOSHUA REESE BAILEY
PHILIP REESE BAILEY
MICHELE V STUTTS
BRANDON RICHARD PHILLIPS
BERT DEEMS MAY
LEILA TARATUS EVANS
Lindie Rheeder
Emily Ruth Johnson

Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

More in Charlotte, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor