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Richard Louis Rosati

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayzata, MN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-05-30
MN RA APPROVED 2025-05-22
  • TX RA
    APPROVED
    Since 2025-05-30
  • MN RA
    APPROVED
    Since 2025-05-22

Branch Locations

315 Lake St E, Wayzata, MN 55391 • 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 Bloomington MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Bloomington MN 11/2016 05/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayzata MN 05/2025 Present
Bank Of America, N.A. E Wayzata MN 07/2025 Present
Previous Registrations
  • 2011-01-03 → 2025-05-28
    Wells Fargo Clearing Services, Llc
    Bloomington, MN
    Savage, MN
    Wayzata, MN
    Bloomington, MN
    Excelsior, MN
    Minnetonka, MN
    Bloomington, MN
    Minneapolis, MN
    Bloomington, MN
    Bloomington, MN
    Bloomington, MN
  • 2008-12-24 → 2011-01-03
    Wells Fargo Investments, Llc
    Bloomington, MN
    Savage, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-18
  • S66 Uniform Combined State Law Examination
    2008-08-18
Other Names
  • Richard Louis Rosati
  • Richard Louis Rosati

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Wayzata, MN
LARSON FINANCIAL GROUP, LLC · Wayzata, MN
EDWARD JONES · Wayzata, MN
WALLEYE CAPITAL LLC · WAYZATA, MN
GARDA CAPITAL PARTNERS · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA , MN
LPL FINANCIAL LLC · WAYZATA, MN

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