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Roberta Jo Tapia-Talmich

Wells Fargo Investment Institute, Inc.

Denver, CO

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Current Employers
Wells Fargo Investment Institute, Inc.

550 South Tryon Street 40Th Floor, Charlotte, NC 28202 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-02-18
CO RA APPROVED 2022-02-18
  • CA RA
    APPROVED
    Since 2022-02-18
  • CO RA
    APPROVED
    Since 2022-02-18

Branch Locations

1700 Lincoln St Floor 10, Denver, CO 80203-4500 • 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 Investments, Llc Denver CO 08/2004 Present
Wells Fargo Bank Denver CO 08/2004 Present
Wells Fargo Investment Institute, Inc Denver CO 11/2021 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-02-18
S63 Uniform Securities Agent State Law Examination 1991-07-01
  • S65 Uniform Investment Adviser Law Examination
    2022-02-18
  • S63 Uniform Securities Agent State Law Examination
    1991-07-01
Other Names
  • Roberta Jo Tapia
  • Roberta Jo Talmich
  • Roberta Jo Tapiatalmich

View on SEC IAPD

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