Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Kent Stubbs is a financial advisor at Wells Fargo Advisors Financial Network, LLC. Roger has been in the financial services industry since May 22, 1989. Roger is registered with the state of Arizona, and is also registered in Texas. Roger is a Series 7, 31 and 66 licensed professional. Roger is a registered investment advisor and has experience in both retail and institutional investment markets. Roger has been with Wells Fargo Advisors Financial Network, LLC since September 2009. Roger works in the Tucson, Arizona branch office.
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
AZ
06/30/2016 - Present
Wells Fargo Advisors Financial Network, LLC (TUCSON AZ)
AZ
08/11/2005 - 09/09/2009
FIRST ALLIED SECURITIES, INC. (TUCSON AZ)
NY
05/23/1989 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/27/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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