Roger Seikwan Toguchi

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → 11/2016
  Wells Fargo Advisors Llc
  Palo Alto, CA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA

Previous Registrations

• 2009-06-01 → 2010-09-14
  Morgan Stanley
  Menlo Park, CA
  Palo Alto, CA
• 2007-05-16 → 2009-06-01
  Morgan Stanley & Co. Llc
  Menlo Park, CA
• 2006-05-02 → 2007-03-26
  Wells Fargo Investments, Llc
  San Francisco, CA
  San Francisco, CA

Other Businesses

CHIYOKO TOGUCKI INC, INV RELATED, HONOLULU, HI, DIRECTOR, START 4/1/2021, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, FAMILY OWNED AND OPERATED BOARD FOR REVIEWING DISTRIBUTIONS ON REAL ESTATE HOLDINGS. CO-TRUSTEE OF PARENTS TRUST; INV. RELATED; FOSTER CITY, CA; START DATE 12/2019; 0 HRS PER MONTH. VACATION RENTAL PROPERTY, KYOTO, JAPAN, 100% OWNERSHIP, START: 5/13/2024, 2 HOURS A MONTH, 0 HOURS DURING TRADING, VACATION RENTAL. RENTAL PROPERTY - 589; INV RELATED;KYOTO,-; RENTAL PROPERTY;100% OWNERSHIP; START DATE: 05/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S66 Uniform Combined State Law Examination
  2006-05-01

Other Names

• Roger Toguchi
• Roger Seikwan Toguchi
• Roger Seikwan Toguchi
• Roger Seikwan Toguchi
• R.J. Seikwan Toguchi
• Roger Seichi Toguchi