Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Louis O'Quin is a financial advisor with over 30 years of experience in the industry. Roger is currently registered with Wells Fargo Advisors Financial Network, LLC and has offices in Little Rock, Arkansas. Roger has previously held positions at Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc. in Little Rock, Arkansas, and Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York. Roger holds a variety of licenses and certifications, including the Series 3, 5, 7, 9, 10, 63 and 65. Roger provides financial planning, portfolio management, and investment consulting services to a variety of clients, including individuals, families, businesses, and institutions.
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
AR
08/08/2022 - Present
Wells Fargo Advisors Financial Network, LLC (LITTLE ROCK AR)
AR
04/03/2009 - 08/05/2022
WELLS FARGO CLEARING SERVICES, LLC (LITTLE ROCK AR)
AR
10/25/2002 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (LITTLE ROCK AR)
NY
08/04/1989 - 10/28/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/02/1989 - 08/14/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
01/23/1985 - 02/14/1989
SWINK & COMPANY, INC.
IA
Issued 08/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/26/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1987
Series 5 - Interest Rate Options Examination
BC
Issued 06/02/1986
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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