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Rebecca Lyn Rogers

Wells Fargo Clearing Services, LLC

St. Louis, MO

CRD 3214284

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
MO RA APPROVED 2008-11-11
  • MO RA
    APPROVED
    Since 2008-11-11

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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 Advisors Llc Saint Louis MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saint Louis MO 11/2016 Present
Other Businesses

SCENTSY USA, NOT INV. RELATED, MERIDIAN, ID. START: 9/12/17, 20 HOURS/MONTH, 0 DURING TRADING, SCENTED CANDLES AND WARMERS SALES CONSULTANT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-08
S63 Uniform Securities Agent State Law Examination 2000-07-15
  • S66 Uniform Combined State Law Examination
    2008-09-08
  • S63 Uniform Securities Agent State Law Examination
    2000-07-15

View on SEC IAPD

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WILLIAM BERNARD ALBAIR
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Nearby Offices

UNIVERSAL FINANCIAL ADVISORS, LLC · ST. LOUIS, MO
EDWARD JONES · KIRKWOOD, MO
EDWARD JONES · KIRKWOOD, MO

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