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Joseph Richard Rotunda

Wells Fargo Clearing Services, LLC

Greensboro, NC

Winston Salem, NC

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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
NC RA APPROVED 2004-03-25
  • NC RA
    APPROVED
    Since 2004-03-25

Branch Locations

806 Green Valley Rd Ste 100, Greensboro, NC 27408 • United States

380 Knollwood St Ste 600, Winston Salem, NC 27103 • 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 Greensboro NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Greensboro NC 11/2016 Present
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; SURFSIDE BEACH, SC; RENTAL HOUSE; CO-OWNER; START DATE 9/2011; 2 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-20
S63 Uniform Securities Agent State Law Examination 1988-06-10
  • S65 Uniform Investment Adviser Law Examination
    1997-02-20
  • S63 Uniform Securities Agent State Law Examination
    1988-06-10
Other Names
  • Joe Rotunda
  • Joseph Rotunda

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · GREENSBORO, NC
BANKERS LIFE ADVISORY SERVICES, INC. · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
BY DESIGN FINANCIAL PLANNING · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC

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