Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clay? Claim Your ProfileClay Evan Rockett is a financial advisor at Wells Fargo Clearing Services, LLC. Clay has been in the financial services industry since 2002 and has a strong background in investment management and financial planning. Clay holds Series 6, 7, and 63 securities licenses. Clay is also a registered representative of FINRA. Clay has a demonstrated commitment to providing clients with personalized financial advice and guidance. Clay specializes in helping clients with retirement planning, investment management, and estate planning. Clay is also experienced in working with individuals, families, and businesses. Clay is committed to providing clients with the highest level of service and support.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
01/31/2014 - Present
Wells Fargo Clearing Services, LLC (HICKORY NC)
NC
05/08/2002 - 12/04/2013
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
IL
11/06/2001 - 04/29/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BC
Issued 12/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/05/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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