Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sherry? Claim Your ProfileSherry Roozrokh is an investment advisor representative with Wells Fargo Clearing Services, LLC, where has been with the firm since November 2016. Sherry is a registered investment advisor in California and Texas. Sherry also holds Series 7, 31, 65, and 66 licenses. Prior to joining Wells Fargo Clearing Services, LLC, Sherry worked at Atlas Securities, LLC in San Francisco, CA and Morgan Stanley DW Inc. in Purchase, NY. Sherry specializes in providing investment consulting services to institutional clients, as well as financial planning and portfolio management for individuals and businesses. Sherry Roozrokh has been in the financial services industry since November 8, 2002.
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
CA
11/09/2022 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
CA
08/13/2003 - 02/01/2007
ATLAS SECURITIES, LLC (SAN FRANCISCO CA)
NY
06/12/2001 - 03/15/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 12/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 06/21/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 06/11/2001
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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