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Roger Wayne Burton

Wells Fargo Clearing Services, LLC

Gilbert, AZ

Gilbert, AZ

Phoenix, AZ

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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
TX RA APPROVED_RES 2024-01-31
FL RA APPROVED 2022-01-11
AZ RA APPROVED 2020-01-23
CA RA APPROVED 2018-08-17
  • TX RA
    APPROVED_RES
    Since 2024-01-31
  • FL RA
    APPROVED
    Since 2022-01-11
  • AZ RA
    APPROVED
    Since 2020-01-23
  • CA RA
    APPROVED
    Since 2018-08-17

Branch Locations

161 E Rivulon Blvd Ste 201 [Mz-Rbo], Gilbert, AZ 85297 • United States

161 E Rivulon Blvd 2Nd Floor, Suite 201, Gilbert, AZ 85297 • United States

2425 E Camelback Rd Ste 1050, Phoenix, AZ 85016 • 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
Ubs Financial Services Inc Bloomington MN 10/2009 08/2018
Wells Fargo Clearing Services, Llc Mesa AZ 08/2018 Present
Previous Registrations
  • 1991-07-26 → 2018-10-10
    Ubs Financial Services Inc.
    Louisville, KY
    Louisville, KY
    Bloomington, MN
    Canfield, OH
    Chicago, IL
    Louisville, KY
    Weehawken, NJ
    Phoenix, AZ
    Brea, CA
    Brea, CA
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-09
S63 Uniform Securities Agent State Law Examination 1986-07-11
  • S65 Uniform Investment Adviser Law Examination
    1996-07-09
  • S63 Uniform Securities Agent State Law Examination
    1986-07-11

View on SEC IAPD

Other Firms

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CETERA INVESTMENT ADVISERS LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
MONEY CONCEPTS CAPITAL CORP
BRIGHTGUIDE FINANCIAL
KINGSLEY WEALTH PARTNERS, INC.
VM JONES FINANCIAL CONSULTING, L.L.C.

Other Investors

DAVID BRUCE WATTS
MATTHEW CHAD WILLETT
Kimball E Gwilliam
Benjamin Cooper
DANIEL BRADFORD GWILLIAM
JEFFREY STEPHEN WATTS
JONATHAN MARK VEST
JEFFREY ALLEN FRYER

Other Offices

WATTS GWILLIAM & COMPANY, LLC · GILBERT, AZ
WATTS GWILLIAM & COMPANY, LLC · GILBERT, AZ
CETERA INVESTMENT ADVISERS LLC · GILBERT, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Gilbert, AZ
EDWARD JONES · GILBERT, AZ
MONEY CONCEPTS CAPITAL CORP · GILBERT, AZ
BRIGHTGUIDE FINANCIAL · GILBERT, AZ
KINGSLEY WEALTH PARTNERS, INC. · GILBERT, AZ

More in Gilbert, AZ

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