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Timothy J Roach

Wells Fargo Clearing Services, LLC

Mesa, AZ

Scottsdale, AZ

Gilbert, AZ

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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
AZ RA APPROVED 2021-02-16
CA RA APPROVED 2021-02-04
  • AZ RA
    APPROVED
    Since 2021-02-16
  • CA RA
    APPROVED
    Since 2021-02-04

Branch Locations

121 S Power Rd, Mesa, AZ 85206 • United States

8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • United States

1495 E Warner Rd, Gilbert, AZ 85296 • 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 Bank Na Mesa AZ 05/2012 Present
Wells Fargo Advisors Llc Queen Creek AZ 05/2014 11/2016
Wells Fargo Clearing Services, Llc Mesa AZ 11/2016 Present
  • 05/2012 → Present
    Wells Fargo Bank Na
    Mesa, AZ
  • 05/2014 → 11/2016
    Wells Fargo Advisors Llc
    Queen Creek, AZ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Mesa, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-04
S63 Uniform Securities Agent State Law Examination 2014-06-11
  • S66 Uniform Combined State Law Examination
    2021-02-04
  • S63 Uniform Securities Agent State Law Examination
    2014-06-11
Other Names
  • Tj Roach
  • Timothy John Roach

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · MESA, AZ
TRIBECA FINANCIAL, LLC · MESA, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Mesa, AZ
LPL FINANCIAL LLC · Mesa, AZ
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · MESA, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Mesa, AZ
EDWARD JONES · MESA, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Mesa, AZ

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