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Detailed Report
SCOTT MICHAEL ROGERS
CRD#: 2343856
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 50 W SAN FERNANDO ST STE 1500
[KA-RBO]
SAN JOSE, CA 95113
Registration History
19952000200520102015202020252 FIRMS2001 - 2011 (9 years)2 FIRMS2011 - Present (14 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1996 - 2001 (4 years)BFIRST INTERSTATE INVESTMENTS,INC. (CRD# 17101)1995 - 1996 (<1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1993 - 1995 (2 years)
License(s)

State Registrations

B
Alabama 12/18/2024
B
Idaho 6/29/2020
B
Arizona 1/24/2020
B
Louisiana 1/3/2011
B
Arkansas 1/16/2020
B
Massachusetts 1/4/2021
B
California 1/3/2011
B
Minnesota 11/11/2015
IA
California 1/3/2011
B
Missouri 11/29/2022
B
Colorado 1/3/2011
B
Nevada 1/3/2011
B
Georgia 7/12/2016
B
Oklahoma 10/4/2016
B
Hawaii 3/6/2019
B
Washington 9/28/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
50 W SAN FERNANDO ST STE 1500 [KA-RBO], SAN JOSE, CA 95113
FREMONT, CA
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
50 W SAN FERNANDO ST STE 1500 [KA-RBO], SAN JOSE, CA 95113
FREMONT, CA
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 05/15/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS GATOS, CA
B
 05/02/2001 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LOS GATOS, CA
B
 07/15/1996 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 10/04/1995 - 07/15/1996 FIRST INTERSTATE INVESTMENTS,INC. (CRD#:17101)
B
 04/22/1993 - 08/25/1995 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.