Mark Sean Rodrick

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

Authority	Category	Status	Date
NJ	RA	APPROVED	2019-01-11
TX	RA	APPROVED_RES	2019-01-11

NJ RA
APPROVED

Since 2019-01-11
TX RA
APPROVED_RES

Since 2019-01-11

Branch Locations

161 Washington Valley Road Suite 205, Warren, NJ 07059 • 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

Organization	City	State	From	To
Morgan Stanley	Westfield	NJ	09/2010	09/2016
Morgan Stanley	Short Hills	NJ	09/2016	01/2019
Wells Fargo Advisors Financial Network, Llc	Warren	NJ	01/2019	Present

09/2010 → 09/2016

Morgan Stanley

Westfield, NJ
09/2016 → 01/2019

Morgan Stanley

Short Hills, NJ
01/2019 → Present

Wells Fargo Advisors Financial Network, Llc

Warren, NJ

Previous Registrations

2010-09-13 → 2019-01-15

Morgan Stanley

Westfield, NJ

Short Hills, NJ
2004-02-06 → 2010-09-09

Ubs Financial Services Inc.

Westfield, NJ

Westfield, NJ

Other Businesses

MRFJ CAPITAL, INV RELATED, SPRINGFIELD, NJ, 50% OWNERSHIP, START 1/11/2019, 160 HOURS PER MONTH, 8 HOURS DURING TRADING, FINET PRACTICE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-02-05
S65	Uniform Investment Adviser Law Examination	1997-12-15
S63	Uniform Securities Agent State Law Examination	1994-06-16

S66 Uniform Combined State Law Examination

2004-02-05
S65 Uniform Investment Adviser Law Examination

1997-12-15
S63 Uniform Securities Agent State Law Examination

1994-06-16

Other Names

Mark S Rodrick

View on SEC IAPD