Franklin Daniel Rockwell

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 06/2018
  Cal-Poly Asi
  San Luis Obispo, CA
• 09/2016 → 07/2018
  Cal-Poly Asi
  San Luis Obispo, CA
• 06/2017 → 09/2017
  Mindbody
  San Luis Obispo, CA
• 07/2018 → 10/2018
  Unemployed
  San Luis Obispo, CA
• 10/2018 → 03/2020
  Axa-Advisors, Llc
  New York, NY
• 03/2020 → Present
  Wells Fargo Clearing Services, Llc
  Sacramento, CA

Previous Registrations

• 2019-10-16 → 2019-11-07
  Equitable Advisors, Llc
  San Luis Obispo, CA
  San Francisco, CA
  San Francisco, CA

Other Businesses

VENDING MACHINE; NOT INV RELATED; ROSEVILLE, CA; 100% OWNERSHIP; START DATE 7/31/2024; 4 HOURS PER MONTH; 0 DURING TRADING; OWNER & OPERATOR OF VENDING MACHINE, REFILLING SNACKS & DRINKS.

Exams

• S66 Uniform Combined State Law Examination
  2018-11-20

Other Names

• Frank Daniel Rockwell
• Franklin Rockwell
• Franklin Daniel Rockwell