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Matthew Roffers

Wells Fargo Clearing Services, LLC

Waukesha, WI

Chicago, IL

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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
WI RA APPROVED 2017-10-02
  • WI RA
    APPROVED
    Since 2017-10-02

Branch Locations

20800 Swenson Dr Ste 200 Crossroads Corporate Center, Waukesha, WI 53186 • United States

30 S Wacker Dr Fl 40 [Wi-Rbo], Chicago, IL 60606 • 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 Clearing Services Milwaukee WI 02/2017 Present
Wells Fargo Bank Milwaukee WI 02/2017 Present
Hc Technologies Chicago IL 06/2016 02/2017
  • 02/2017 → Present
    Wells Fargo Clearing Services
    Milwaukee, WI
  • 02/2017 → Present
    Wells Fargo Bank
    Milwaukee, WI
  • 06/2016 → 02/2017
    Hc Technologies
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-02
  • S66 Uniform Combined State Law Examination
    2017-10-02
Other Names
  • Matt Gerard Roffers

View on SEC IAPD

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THRIVENT INVESTMENT MANAGEMENT INC.

Other Investors

BRIAN VICTOR LEHKY
MARK RICHARD MIRSBERGER
MIKHAIL I ALKHAZOV
STEVEN ALLEN JAEGER
NOAMAN A.Q. SHARIEF
JEROME JOSEPH VERANTH
MATTHEW ROBERT SLOWINSKI
DANIEL GLENN SIEVERS

Other Offices

DANA INVESTMENT ADVISORS INC · WAUKESHA, WI
DANA INVESTMENT ADVISORS INC · Waukesha, WI
RAYMOND JAMES & ASSOCIATES, INC. · Waukesha, WI
WORLD INVESTMENT ADVISORS, LLC · Waukesha, WI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAUKESHA , WI
OSAIC WEALTH, INC. · WAUKESHA, WI
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Waukesha, WI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Waukesha, WI

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