Francis X Roche

CRD 1108960 · Wells Fargo Advisors · Wayzata, MN

IA RegisteredBroker

Also appears in the source record as: F X Roche; Fran Roche; Francis Xavier Roche II; Francis Xavier Roche

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): SIESeries 15Series 3Series 7Series 9Series 10Series 24Series 8Series 65Series 63
Registered states (10): Arkansas · California · Illinois · Massachusetts · Minnesota · North Dakota · Oklahoma · Texas · Utah · Washington
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1108960 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (23)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Wayzata, MN · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Bismarck, ND · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Bismarck, ND · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Wayzata, MN · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Wayzata, MN · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Bismarck, ND · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Bismarck, ND · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Wayzata, MN · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Wayzata, MN · IA capacity

start not retrieved → present
Oppenheimer & Co. Inc.
San Francisco, CA · IA capacity

Apr 15, 2015 → Oct 18, 2016
Oppenheimer & Co. Inc.
San Francisco, CA · BC capacity

Apr 15, 2015 → Oct 18, 2016
Robert W. Baird & Co. Incorporated
San Francisco, CA · IA capacity

Mar 17, 2014 → Apr 21, 2015
Robert W. Baird & Co. Incorporated
San Francisco, CA · BC capacity

Mar 17, 2014 → Apr 21, 2015
Rbc Capital Markets, LLC
San Francisco, CA · IA capacity

May 14, 2002 → Apr 7, 2014
Rbc Capital Markets, LLC
San Francisco, CA · BC capacity

Mar 9, 2002 → Apr 7, 2014
Rbc Capital Markets Corporation
San Francisco, CA · BC capacity

Sep 27, 2006 → Feb 29, 2008
Sutro & Co. Incorporated
San Francisco, CA · BC capacity

May 18, 2000 → Mar 9, 2002
Painewebber Incorporated
Weehawken, NJ · BC capacity

Jan 28, 1995 → Jun 23, 2000
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Jul 25, 1994 → Jan 28, 1995
Prudential Securities Incorporated
New York, NY · BC capacity

Dec 18, 1987 → Jul 7, 1994
William Blair & Company
BC capacity

Sep 15, 1986 → Dec 23, 1987
E. F. Hutton & Company Inc
BC capacity

May 22, 1984 → Oct 7, 1986
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BC capacity

Apr 19, 1983 → May 11, 1984

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1108960 ↗ FINRA BrokerCheck record for CRD 1108960 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.