Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Francis Rogers is a financial advisor with over 30 years of experience. Marc has been registered with Wells Fargo Clearing Services, LLC since 2010 and has previously worked with RBC Capital Markets Corporation, Morgan Stanley DW Inc., Piper Jaffray Inc., Smith Barney Inc., PaineWebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and DRB Financial, Inc. Marc provides financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients. Marc is licensed to provide investment advice in Alabama, Arizona, California, Colorado, Connecticut, Idaho, Massachusetts, Nevada, New York, North Carolina, Oregon, Texas, and Utah.
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
07/16/2010 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
CA
08/16/2004 - 07/08/2010
RBC CAPITAL MARKETS CORPORATION (SAN JOSE CA)
NY
07/25/1998 - 08/20/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
MN
11/13/1995 - 07/20/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
07/30/1993 - 11/10/1995
SMITH BARNEY INC. (NEW YORK NY)
NJ
08/19/1985 - 07/14/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
12/16/1983 - 09/11/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/02/1982 - 10/01/1984
DRB FINANCIAL, INC.
IA
Issued 09/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 02/20/1982
Series 7 - General Securities 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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