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Diana Catherine Rogers

Wells Fargo Clearing Services, LLC

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About Diana Catherine Rogers

Diana Catherine Rogers is a financial advisor at Wells Fargo Clearing Services, LLC. Diana has been in the financial services industry since 1990, with prior experience at UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, and Smith Barney, Harris Upham & Co., Incorporated. Diana holds Series 3, 7, 9, 10, 63, 65, 79TO and SIE licenses. Diana also has experience with a broad range of financial services offerings including financial planning, pension consulting, portfolio management for individuals and businesses, investment consulting services to institutional clients, and selection of other advisors.

Firm Information

Diana Rogers is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Diana Rogers’s Registration & Firm History

MA

05/25/2022 - Present

Wells Fargo Clearing Services, LLC (BOSTON MA)

MA

06/21/2016 - 05/26/2022

UBS FINANCIAL SERVICES INC. (BOSTON MA)

MA

11/03/2000 - 06/24/2016

CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)

NJ

06/11/1990 - 01/17/2003

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

04/27/1990 - 06/07/1990

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/10/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/16/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/17/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/02/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/2010

Series 3 - National Commodity Futures Examination

BC

Issued 04/21/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Diana Catherine Rogers.
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