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REGIS GERARD ROTHRAUFF III
REGIS ROTHRAUFF III, REGIS ROTHRAUFF
CRD#: 6166843
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4246 PLANK RD
FREDERICKSBURG, VA 22407
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
District of Columbia 4/8/2013

B
Virginia 4/17/2013

B
Maryland 4/8/2013

IA
Virginia 5/7/2013

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)
4246 PLANK RD, FREDERICKSBURG, VA 22407
5636 PLANK RD, FREDERICKSBURG, VA 22407
Registered with this firm since 5/7/2013

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4246 PLANK RD, FREDERICKSBURG, VA 22407
5636 PLANK RD, FREDERICKSBURG, VA 22407
Registered with this firm since 4/8/2013

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B
Broker
IA
Investment Adviser
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.