Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Eugene Nord is a financial advisor with over 20 years of experience in the industry. Roger currently works with Wells Fargo Clearing Services, LLC, a firm specializing in financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients. Roger is located in St. Louis, MO and has a strong background in securities, commodities, and investment advisory services. Prior to working with Wells Fargo Clearing Services, LLC, Roger has held positions with other well-known firms including Wells Fargo Investments, LLC, Wells Fargo Securities Inc., First Union Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Securities 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.
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2
MO
05/29/2021 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
CA
05/02/2001 - 05/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/05/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MO
05/29/1998 - 10/16/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
06/18/1992 - 06/03/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/25/1986 - 06/17/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2021
Series 7TO - General Securities Representative Examination
BC
Issued 04/05/2021
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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