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Aaron Darick Roques

Wells Fargo Advisors Financial Network, LLC

Henderson, NV

Reno, NV

CRD 3217511

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Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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 Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2007-06-08
  • NV RA
    APPROVED
    Since 2007-06-08

Branch Locations

170 Green Valley Pkwy Suite 220 [Satellite}, Henderson, NV 89052 • United States

595 Humboldt St Ste 200, Reno, NV 89509 • 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 Financial Network Llc Henderson NV 05/2009 Present
Previous Registrations
  • 2003-06-20 → 2007-06-18
    Ubs Financial Services Inc.
    Las Vegas, NV
    Las Vegas, NV
  • 1999-12-31 → 2003-06-23
    Prudential Equity Group, Llc
    Encino, CA
Other Businesses

AADR FINANCIAL SERVICES, INVT RELATED, HENDERSON, NV, 100% OWNERSHIP, STRAT DATE 7/1/2007, 2 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-08-12
S65 Uniform Investment Adviser Law Examination 1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12

View on SEC IAPD

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