Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Beguiristain is a financial advisor with Wells Fargo Clearing Services, LLC, working out of the Scottsdale, AZ office. Roger has been in the financial services industry since 1996 and has a diverse set of credentials including licenses in multiple states and a variety of professional exams. Roger has a strong track record of providing financial advice to a variety of client types including individuals, families, trusts, businesses, and charitable organizations. Prior to joining Wells Fargo Clearing Services, LLC, Roger held positions with Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
AZ
10/04/2016 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
NY
06/09/1997 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/06/1996 - 06/06/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/1996
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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