Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Turner is a financial advisor with Wells Fargo Clearing Services, LLC, based in Richmond, VA. Roger has been in the financial services industry for over twenty years. Roger has experience working with a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Roger is registered with the Securities and Exchange Commission (SEC) and has passed the Series 6, 7, 9, 10, 63, 65, and 66 exams. Roger holds the SIE designation.
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
VA
04/23/2018 - Present
Wells Fargo Clearing Services, LLC (RICHMOND VA)
MO
04/05/2017 - 01/03/2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
08/04/2014 - 11/22/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
AL
08/02/2013 - 06/25/2014
WELLS FARGO ADVISORS, LLC (BIRMINGHAM AL)
AL
03/29/2007 - 08/16/2011
WELLS FARGO ADVISORS, LLC (BESSEMER AL)
CA
10/10/2005 - 11/17/2006
WM FINANCIAL SERVICES, INC. (INGLEWOOD CA)
AZ
07/27/2005 - 08/19/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
AL
10/08/2002 - 05/19/2005
STERNE AGEE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
CA
10/22/2001 - 12/06/2001
FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)
CA
11/08/2000 - 08/21/2001
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
10/26/1999 - 09/07/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NJ
10/22/1998 - 11/18/1998
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
NY
10/26/1993 - 12/08/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/26/1993 - 12/08/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 04/21/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/25/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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