Richard Andrew Roeser
Investment adviser representative at Wells Fargo Advisors
13 yearsExperience
2 statesRegistered in
$671.4BFirm assets
36 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
13 years in the industry.
- Wells Fargo Clearing Services, LLCApr 2026 to now
- Raymond James & Associate Inc.Oct 2023 to Apr 2026
- Bank of America, N.A.Jul 2019 to Oct 2023
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2019 to Oct 2023
- UnemployedFeb 2019 to Apr 2019
- Waypoint Direct Investments, LLCMay 2018 to Jan 2019
- Waypoint Residential LLCApr 2018 to Jan 2019
- Cell Care TherapeuticsFeb 2017 to Mar 2018
- Tsc Distributors, LLCMay 2013 to Jan 2017
Exams passed
- Series 66 · Uniform Combined State Law2008
- Series 65 · Uniform Investment Adviser Law2019
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Wells Fargo Advisors
Legal name: Wells Fargo Clearing Services, LLC
$671.4BAssets managed
1,324,168Clients
14,661Advisers
36 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5573203
- Firm CRD
- 19616