Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luke? Claim Your ProfileLuke Roh is a financial professional registered with Wells Fargo Securities, LLC, since 2021. Luke has a broad range of experience in the financial services industry, with prior experience at several firms including BOFA Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and BNP Paribas Securities Corp. Luke holds a number of licenses and certifications including Series 7, 63, 66, 22, 82 and 99. Luke is licensed to provide financial services in multiple states.
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.
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.
1
2
CA
07/08/2021 - Present
Wells Fargo Securities, LLC (EL SEGUNDO CA)
NY
05/10/2019 - 06/28/2021
BOFA SECURITIES, INC. (NEW YORK NY)
NY
07/24/2018 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/08/2015 - 06/29/2018
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
BC
Issued 08/17/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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