Roger Craig Hicks

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
PA	RA	APPROVED	2024-06-25
NJ	RA	APPROVED	2003-07-01

PA RA
APPROVED

Since 2024-06-25
NJ RA
APPROVED

Since 2003-07-01

Branch Locations

302 Carnegie Center Stes 102 & 104, Princeton, NJ 08540 • 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	Lawrenceville	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Lawrenceville	NJ	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Lawrenceville, NJ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Lawrenceville, NJ

Previous Registrations

2002-05-31 → 2003-07-01

Prudential Equity Group, Llc

Princeton, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-02
S63	Uniform Securities Agent State Law Examination	1984-02-29

S65 Uniform Investment Adviser Law Examination

2002-05-02
S63 Uniform Securities Agent State Law Examination

1984-02-29