Best Investors Account Sign in

Sean Michael Roarty

Wells Fargo Clearing Services, LLC

Oakhurst, NJ

Hamilton Square, NJ

East Windsor, NJ

Claim This Profile
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
TX RA APPROVED 2024-02-07
NJ RA APPROVED 2022-08-19
NY RA APPROVED 2022-08-18
  • TX RA
    APPROVED
    Since 2024-02-07
  • NJ RA
    APPROVED
    Since 2022-08-19
  • NY RA
    APPROVED
    Since 2022-08-18

Branch Locations

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

1177 Route 33, Hamilton Square, NJ 08690 • United States

29 Princeton Hightstown Rd, East Windsor, NJ 08520 • 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 Pennington NJ 08/2014 Present
Wells Fargo Clearing Services, Llc Pennington NJ 01/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-18
S63 Uniform Securities Agent State Law Examination 2019-06-11
  • S66 Uniform Combined State Law Examination
    2022-08-18
  • S63 Uniform Securities Agent State Law Examination
    2019-06-11
Other Names
  • Sean Michael Roarty

View on SEC IAPD

Other Firms

EQUITABLE ADVISORS, LLC
WESTPEAK FINANCIAL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
BROOKSTONE WEALTH ADVISORS, LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ROCKDALE FINANCIAL SERVICES, INC.

Other Investors

MARK ALLEN HEREGA
CHRISTOPHER MICHAEL KEEGAN
JAY RAXESHKUMAR SHAH
EUGENE CHO
WILLIAM JAMES BAXTER
JANICE MILARA
THOMAS F SYLVESTRO
ROBIN NICOLE BOLDEN

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · OAKHURST, NJ
WELLS FARGO CLEARING SERVICES, LLC · OAKHURST, NJ
EQUITABLE ADVISORS, LLC · OCEAN, NJ
WESTPEAK FINANCIAL · OCEAN, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OCEAN, NJ
CETERA INVESTMENT ADVISERS LLC · OCEAN, NJ
BROOKSTONE WEALTH ADVISORS, LLC · Wanamassa, NJ
EDWARD JONES · Oakhurst, NJ

More in Oakhurst, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor