Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Read is a financial professional with over 25 years of experience in the industry. Roger currently works at Wells Fargo Securities, LLC, in Houston, TX. Roger has a strong track record of success and is committed to providing his clients with personalized financial advice and guidance. Prior to joining Wells Fargo Securities, LLC, Roger held positions at MORGAN KEEGAN & COMPANY, INC., NATIXIS BLEICHROEDER LLC, and SIMMONS & COMPANY INTERNATIONAL. Roger is licensed to provide securities and investment advice in all 50 states, the District of Columbia, and Puerto Rico.
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.
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2
TX
03/22/2012 - Present
Wells Fargo Securities, LLC (HOUSTON TX)
TX
12/07/2010 - 03/05/2012
MORGAN KEEGAN & COMPANY, INC. (HOUSTON TX)
TX
10/16/2003 - 11/24/2010
NATIXIS BLEICHROEDER LLC (HOUSTON TX)
MN
12/03/1996 - 10/13/2003
SIMMONS & COMPANY INTERNATIONAL (MINNEAPOLIS MN)
BC
Issued 05/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/08/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/02/1996
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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