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Detailed Report
RODERICK ORVILLE AGARD
CRD#: 1815727
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1200 MITCHELL BRIDGE RD
ATHENS, GA 30606
Registration History
199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS2015 - 2023 (8 years)2 FIRMS2024 - Present (<1 year)BE*TRADE SECURITIES LLC (CRD# 29106)2004 - 2015 (11 years)BE*TRADE SECURITIES, INCORPORATED (CRD# 29106)1999 - 2002 (3 years)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)1998 - 1999 (<1 year)BFIRST ATLANTA SECURITIES, LLC (CRD# 18200)1998 - 1998 (<1 year)BMASON HILL & CO., INC. (CRD# 38308)1997 - 1998 (1 year)BCONTINENTAL BROKER-DEALER CORP. (CRD# 14048)1997 - 1997 (<1 year)BREICH & CO., INC. (CRD# 19611)1992 - 1993 (1 year)BDONALD & CO. SECURITIES INC. (CRD# 7776)1991 - 1992 (1 year)BS. D. COHN & CO., INC. (CRD# 27827)1991 - 1991 (<1 year)BV P SECURITIES, INC. (CRD# 16615)1989 - 1991 (1 year)BINVESTORS CENTER, INC. (CRD# 14670)1988 - 1989 (<1 year)BOPPENHEIMER & CO., INC. (CRD# 630)1988 - 1988 (<1 year)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2009 - 2015 (6 years)
License(s)

State Registrations

B
Georgia 7/31/2024
IA
Georgia 8/2/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1200 MITCHELL BRIDGE RD, ATHENS, GA 30606
Registered with this firm since 8/2/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1200 MITCHELL BRIDGE RD, ATHENS, GA 30606
Registered with this firm since 7/31/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/30/2015 - 09/19/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) Atlanta, GA
B
 06/17/2015 - 09/19/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SNELLVILLE, GA
IA
 05/29/2009 - 05/20/2015 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 03/22/2004 - 05/20/2015 E*TRADE SECURITIES LLC (CRD#:29106) ALPHARETTA, GA
B
 05/28/1999 - 08/23/2002 E*TRADE SECURITIES, INCORPORATED (CRD#:29106) JERSEY CITY, NJ
B
 12/15/1998 - 05/20/1999 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) NEW YORK, NY
B
 08/27/1998 - 11/24/1998 FIRST ATLANTA SECURITIES, LLC (CRD#:18200) DESTIN, FL
B
 02/11/1997 - 08/11/1998 MASON HILL & CO., INC. (CRD#:38308) NEW YORK, NY
B
 01/23/1997 - 02/18/1997 CONTINENTAL BROKER-DEALER CORP. (CRD#:14048)
FINRA expelled the firm on 05/06/2004
CARLE PLACE, NY
B
 07/29/1992 - 11/02/1993 REICH & CO., INC. (CRD#:19611)
B
 08/28/1991 - 08/04/1992 DONALD & CO. SECURITIES INC. (CRD#:7776)
FINRA expelled the firm on 03/18/2003
TINTON FALLS, NJ
B
 01/24/1991 - 08/29/1991 S. D. COHN & CO., INC. (CRD#:27827) HAUPPAUGE, NY
B
 11/21/1989 - 02/11/1991 V P SECURITIES, INC. (CRD#:16615)
FINRA expelled the firm on 01/07/1992
B
 11/16/1989 - 12/08/1989 DONALD & CO. SECURITIES INC. (CRD#:7776)
FINRA expelled the firm on 03/18/2003
TINTON FALLS, NJ
B
 03/31/1989 - 11/20/1989 WILLIAM M. CADDEN & CO., INC. (CRD#:16363)
FINRA expelled the firm on 04/16/1990
B
 06/09/1988 - 03/10/1989 INVESTORS CENTER, INC. (CRD#:14670)
B
 05/05/1988 - 05/13/1988 OPPENHEIMER & CO., INC. (CRD#:630)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.