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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Darron Steele is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Roger Steele has been in the industry since December 1998 and is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Roger Steele's specializations include securities, insurance, and investment advisory services. Roger Steele is currently registered in 33 states and 2 jurisdictions for broker-dealer (BC) activities and 2 states for investment advisor (IA) activities. Roger Steele is also registered with the state of Texas as a resident investment advisor. Roger Steele has been affiliated with Wells Fargo Clearing Services, LLC since November 2016. Prior to that, Roger Steele was affiliated with Wells Fargo Advisors LLC.
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
CA
05/05/2015 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
07/14/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)
MA
05/17/2001 - 07/02/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
07/12/1999 - 09/13/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
04/07/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 10/31/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/24/1997
Series 6 - Investment Company Products/Variable Contracts 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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