Individual Firm
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PHILIP EDWIN ROGERS SR.
PHIL EDWIN ROGERS SR., PHIL ROGERS, PHIL EDWIN ROGERS SR., PHILIP EDWIN ROGERS, PHILLIP EDWIN ROGERS SR.…
CRD#: 4537002
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1120 K ST
MODESTO, CA 95354
MODESTO, CA 95354
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4/6/2015
Customer Dispute
Denied
4/12/2011
Customer Dispute
Settled
State Registrations
B
California 9/30/2019
B
Missouri 10/7/2020
IA
California 9/30/2019
B
Nevada 9/30/2019
B
Florida 12/14/2021
B
Utah 10/20/2021
B
Idaho 9/30/2019
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/30/2019
B
Registered with this firm since 9/30/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 10/10/2019 | OAKDALE, CA | |
B | 10/01/2012 - 10/10/2019 | OAKDALE, CA | |
IA | 05/02/2009 - 10/01/2012 | MERCED, CA | |
B | 05/02/2009 - 10/01/2012 | MERCED, CA | |
IA | 10/03/2008 - 05/02/2009 | LOS BANOS, CA | |
B | 10/02/2008 - 05/02/2009 | LOS BANOS, CA | |
IA | 01/05/2005 - 10/02/2008 | MODESTO, CA | |
B | 01/05/2005 - 10/02/2008 | MODESTO, CA | |
IA | 10/10/2002 - 01/05/2005 | MODESTO, CA | |
B | 08/05/2002 - 01/05/2005 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.