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Scott Michael Rogers

Wells Fargo Clearing Services, LLC

San Jose, CA

Fremont, CA

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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
CA RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

50 W San Fernando St Ste 1500 [Ka-Rbo], San Jose, CA 95113 • United States

Fremont, CA • 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 Los Gatos CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Los Gatos CA 11/2016 Present
Previous Registrations
  • 2001-05-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Milpitas, CA
    Milpitas, CA
    Los Gatos, CA
    San Jose, CA
    Milpitas, CA
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-27
S63 Uniform Securities Agent State Law Examination 1993-04-20
  • S65 Uniform Investment Adviser Law Examination
    1998-03-27
  • S63 Uniform Securities Agent State Law Examination
    1993-04-20

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
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