Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Rogers is a financial advisor with over 30 years of experience in the industry. John is registered with Wells Fargo Advisors Financial Network, LLC and has offices in Santa Ana, CA and Shenandoah, TX. John also holds the Series 63, 65, 7 and SIE licenses. John specializes in investment management, financial planning, and pension consulting for both individuals and businesses.
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.
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2
CA
07/18/2024 - Present
Wells Fargo Advisors Financial Network, LLC (SANTA ANA CA)
TX
03/27/2009 - 07/18/2024
WELLS FARGO CLEARING SERVICES, LLC (HUMBLE TX)
TX
05/09/2003 - 03/31/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (THE WOODLANDS TX)
AL
02/04/2002 - 05/13/2003
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NY
01/11/2000 - 02/08/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
AL
06/09/1998 - 01/31/2000
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
OH
01/09/1998 - 05/08/1998
KEY INVESTMENTS INC. (CLEVELAND OH)
CA
08/19/1996 - 01/06/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
10/16/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
09/18/1995 - 11/16/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
TX
01/03/1995 - 05/01/1995
UNITED FINANCIAL MARKETS, INC. (HOUSTON TX)
OH
06/20/1994 - 12/31/1994
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
NA
07/26/1993 - 05/05/1994
SWBC INVESTMENT COMPANY
PA
05/01/1992 - 05/14/1993
CIGNA SECURITIES, INC. (RADNOR PA)
CA
09/25/1990 - 04/29/1992
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CO
01/24/1990 - 09/17/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 11/04/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/26/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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