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Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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:

Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-18
  • TX RA
    APPROVED
    Since 2024-07-18

Branch Locations

2940 Oak Street Suite 214 [Office Of Convenience], Kingwood, TX 77339 • United States

10077 Grogans Mill Rd Ste 325 [Satellite], The Woodlands, TX 77380 • United States

1551 N Tustin Ave Ste 100, Santa Ana, CA 92705 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Humble TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Humble TX 11/2016 07/2024
Wells Fargo Advisors Financial Network, Llc Shenandoah TX 07/2024 Present
Previous Registrations
  • 2009-03-27 → 2024-07-18
    The Woodlands, TX
    Houston, TX
    Kingwood, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Cleveland, TX
    Kingwood, TX
    Liberty, TX
    Kingwood, TX
    Kingwood, TX
    Humble, TX
    Houston, TX
    Humble, TX
    The Woodlands, TX
    Kingwood, TX
    The Woodlands, TX
    Houston, TX
    Humble, TX
    Huffman, TX
    The Woodlands, TX
  • 2003-05-09 → 2009-03-31
    Banc Of America Investment Services, Inc.
    Houston, TX
    The Woodlands, TX
  • 2002-09-30 → 2003-05-13
    Bbva Compass Investment Solutions, Inc
    Kingwood, TX
Other Businesses

ROGERS WEALTH MANAGEMENT GROUP LLC, INV RELATED, KINGWOOD, TX, 100% OWNERSHIP, START 7/18/2024, 40 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-11-04
S63 Uniform Securities Agent State Law Examination 1989-12-26
  • S65 Uniform Investment Adviser Law Examination
    2003-11-04
  • S63 Uniform Securities Agent State Law Examination
    1989-12-26
Designations
  • Certified Financial Planner
Other Names
  • Rusty Rogers
  • John Bryan Rogers

View on SEC IAPD

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