Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
VERGIL HAVEN RORER
CRD#: 724456
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1605 MAIN ST
12TH & 14TH FLS
SARASOTA, FL 34236
Registration History
1985199019952000200520102015202020252 FIRMS1993 - 2009 (15 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1981 - 1988 (7 years)
License(s)

State Registrations

B
Arizona 11/14/2013
B
Missouri 9/23/2020
B
Connecticut 11/14/2013
B
New Jersey 10/25/2022
B
Florida 7/15/2009
B
New York 11/14/2013
IA
Florida 7/21/2009
B
North Carolina 7/15/2009
B
Georgia 11/14/2013
B
Ohio 11/15/2013
B
Illinois 8/18/2011
B
Rhode Island 11/18/2016
B
Indiana 11/14/2013
B
South Carolina 11/14/2018
B
Kansas 11/14/2013
B
Texas 9/25/2013
B
Massachusetts 11/16/2015
IA
Texas 9/26/2013
B
Michigan 7/15/2009
B
Wisconsin 10/23/2024

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)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
Tierra Verde, FL
Registered with this firm since 7/17/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
Tierra Verde, FL
Registered with this firm since 7/15/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 08/05/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ST. PETERSBURG, FL
B
 06/01/2009 - 08/05/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ST. PETERSBURG, FL
IA
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ST. PETERSBURG, FL
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ST. PETERSBURG, FL
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 02/23/1981 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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.