Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Duncan Brown is a registered representative with Wells Fargo Securities, LLC, a brokerage firm with a broad reach across the United States. Roger has been in the financial industry since 2005. He is currently registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He has passed several industry exams, including the Series 7, 63, and 6 exams. Roger has a long history with Wells Fargo Securities, LLC, having previously worked there from 2004 to 2021.
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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NC
07/13/2021 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
10/13/2004 - 01/06/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
BC
Issued 10/26/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/2023
Series 79TO - Investment Banking Registered 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 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative 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 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2004
Series 7 - General Securities Representative Examination
Active
Inactive
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BOX Exchange LLC
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Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
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Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
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MEMX LLC
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MIAX Emerald, LLC
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MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
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NYSE American LLC
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NYSE Arca, Inc.
N
NYSE Chicago, Inc.
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NYSE National, Inc.
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Nasdaq BX, Inc.
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Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
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Nasdaq MRX, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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