Marc Francis Rogers

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-07-16
CA	RA	APPROVED	2010-07-06

TX RA
APPROVED_RES

Since 2010-07-16
CA RA
APPROVED

Since 2010-07-06

Branch Locations

San Jose, CA • United States

301 University Ave 2Nd Fl, Palo Alto, CA 94301 • United States

Los Altos, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Palo Alto	CA	07/2010	11/2016
Wells Fargo Clearing Services, Llc	Palo Alto	CA	11/2016	Present

07/2010 → 11/2016

Wells Fargo Advisors Llc

Palo Alto, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Palo Alto, CA

Previous Registrations

2004-08-16 → 2010-07-08

Rbc Capital Markets, Llc

San Jose, CA

San Jose, CA
1998-09-29 → 2004-08-20

Morgan Stanley Dw Inc.

Palo Alto, CA

Other Businesses

TRUSTEE FOR BROTHER'S TRUST; INV. RELATED; LOS ALTOS, CA; START DATE 4/16/2018; 1 HR PER MONTH; 0 HRS DURING TRADING. SKIN DEEP, NOT INV RELATED, LOS ALTOS, CA, SCREENWRITER, START 8/1/2018, 5 HOURS PER MONTH, ZERO DURING TRADING, SCRIPT WRITING AND ATTEMPTING TO SELL.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-17
S63	Uniform Securities Agent State Law Examination	1985-04-12

S65 Uniform Investment Adviser Law Examination

1998-09-17
S63 Uniform Securities Agent State Law Examination

1985-04-12

Other Names

Buck Rogers
Mare Francis Rogers

View on SEC IAPD