Theresa Rosa

CRD 1154729 · Wells Fargo Advisors · Paramus, NJ

IA RegisteredBroker

Also appears in the source record as: Theresa Maureen Hickey; Theresa Maureen Rosa

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 31Series 7Series 66Series 63
Registered states (44): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or 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 (9)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Paramus, NJ · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Paramus, NJ · BC capacity

start not retrieved → present
Morgan Stanley
Paramus, NJ · IA capacity

Oct 29, 2012 → Apr 29, 2025
Morgan Stanley
Paramus, NJ · BC capacity

Jun 1, 2009 → Apr 29, 2025
Morgan Stanley & Co. Incorporated
Paramus, NJ · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
Paramus, NJ · BC capacity

Feb 28, 2006 → Apr 2, 2007
Citigroup Global Markets Inc.
Little Falls, NJ · BC capacity

Mar 20, 2002 → Feb 1, 2006
Brown & Company Securities Corporation
Boston, MA · BC capacity

Oct 20, 1986 → Jun 1, 2001
Advest, Inc.
BC capacity

Apr 23, 1986 → Sep 2, 1986

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 1154729 ↗ FINRA BrokerCheck record for CRD 1154729 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.