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NATHANIEL ROLLAND
NATHANIEL BENJAMIN ROLLAND
CRD#: 6028927
IA
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WELLS FARGO ADVISORSCRD#: 19616 ONE NORTH JEFFERSON AVENUE
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103-2205
MAIL CODE: H0004-05E
ST. LOUIS, MO 63103-2205
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Disclosures
12
Years of Experience
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State Registrations
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Missouri 12/22/2020
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Missouri 12/22/2020
SRO Registrations
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Registered with this firm since 12/22/2020
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Registered with this firm since 12/22/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2019 - 11/17/2020 | ST. LOUIS, MO | |
B | 06/21/2019 - 11/17/2020 | ST. LOUIS, MO | |
IA | 08/04/2014 - 11/10/2020 | ST. LOUIS, MO | |
B | 02/01/2014 - 11/10/2020 | ST. LOUIS, MO | |
B | 04/25/2012 - 11/08/2013 | ST LOUIS, MO |
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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.
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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.