Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Charles Rogers is a financial advisor who has been in the industry since June 1988. Sean is currently registered with Wells Fargo Clearing Services, LLC, and has been with the firm since March 2009. Sean also previously worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS PaineWebber Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Sean is licensed in several states, including Alabama, Arizona, California, Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, and Virginia.
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
MD
03/27/2009 - Present
Wells Fargo Clearing Services, LLC (HUNT VALLEY MD)
MD
04/02/2007 - 03/31/2009
MORGAN STANLEY & CO. INCORPORATED (HUNT VALLEY MD)
MD
04/06/2001 - 04/02/2007
MORGAN STANLEY DW INC. (HUNT VALLEY MD)
NJ
09/23/1994 - 04/16/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/07/1989 - 10/07/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
06/03/1988 - 12/20/1988
CHARLES SCHWAB & CO., INC.
IA
Issued 08/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/21/1988
Series 7 - General Securities 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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