Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Michael Rogers is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Scott has been in the financial services industry since 1993 and has held several previous roles with firms like Wells Fargo Investments, LLC and Wells Fargo Securities Inc. Scott is registered with the Securities and Exchange Commission (SEC) and holds Series 7, 6, 63, 65, 72, and SIE licenses. Scott provides investment consulting services to institutional clients and offers financial planning, pension consulting, and portfolio management services to businesses and individuals.
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
CA
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LOS GATOS CA)
CA
07/15/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
10/04/1995 - 07/15/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
04/22/1993 - 08/25/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
IA
Issued 03/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1996
Series 7 - General Securities Representative Examination
BC
Issued 04/21/1993
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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