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Regis Gerard Rothrauff

Wells Fargo Clearing Services, LLC

Fredericksburg, VA

Fredericksburg, VA

Mclean, VA

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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
VA RA APPROVED 2013-05-07
  • VA RA
    APPROVED
    Since 2013-05-07

Branch Locations

4246 Plank Rd, Fredericksburg, VA 22407 • United States

5636 Plank Rd, Fredericksburg, VA 22407 • United States

1753 Pinnacle Dr 3Rd Fl [V6-Rbo], Mclean, VA 22102 • 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. Fredericksburg VA 02/2013 11/2016
Wells Fargo Bank Na Stafford VA 10/2011 Present
Wells Fargo Clearing Services, Llc Stafford VA 11/2016 Present
  • 02/2013 → 11/2016
    Wells Fargo Advisors, Llc.
    Fredericksburg, VA
  • 10/2011 → Present
    Wells Fargo Bank Na
    Stafford, VA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Stafford, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-06
S63 Uniform Securities Agent State Law Examination 2013-04-16
  • S65 Uniform Investment Adviser Law Examination
    2013-05-06
  • S63 Uniform Securities Agent State Law Examination
    2013-04-16
Other Names
  • Regis Rothrauff
  • Regis Rothrauff

View on SEC IAPD

Other Firms

EDWARD JONES
INTEGRATED ADVISORS NETWORK LLC
THRIVENT INVESTMENT MANAGEMENT INC.
HORNOR, TOWNSEND & KENT, LLC
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PFS INVESTMENTS INC.
OSAIC WEALTH, INC.

Other Investors

David Leland Ross
Michael Gaumond
JUSTIN P BERNIER
VICTORIA HELEN THORPE
ELIZABETH O'REILLY PATE
ISAAC MARK CRITCHLOW
Thomas James Colson
Jack Pagan

Other Offices

EDWARD JONES · FREDERICKSBURG, VA
INTEGRATED ADVISORS NETWORK LLC · Fredricksburg, VA
THRIVENT INVESTMENT MANAGEMENT INC. · FREDERICKSBURG, VA
HORNOR, TOWNSEND & KENT, LLC · Fredericksburg, VA
J.P. MORGAN SECURITIES LLC · Fredericksburg, VA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FREDERICKSBURG, VA
PFS INVESTMENTS INC. · FREDERICKSBURG, VA
OSAIC WEALTH, INC. · FREDERICKSBURG, VA

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