Richard Rosati

CRD 1704247 · Wells Fargo Advisors · Florham Park, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 24Series 65Series 63
Registered states (30): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Kentucky · Maine · Maryland · Massachusetts · Minnesota · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · West Virginia · Wisconsin
Years in the industry (source record): 29
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 (12)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Florham Park, NJ · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Florham Park, NJ · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Florham Park, NJ · IA capacity

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

Jun 1, 2009 → Jul 5, 2019
Morgan Stanley
Florham Park, NJ · BC capacity

Jun 1, 2009 → Jul 5, 2019
Morgan Stanley & Co. Incorporated
Morristown, NJ · IA capacity

Jul 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Morristown, NJ · BC capacity

May 24, 2007 → Jun 1, 2009
Carolina Capital Markets, Inc.
Chapel Hill, NC · BC capacity

Apr 23, 2007 → May 21, 2007
Hsbc Securities, Inc.
New York City, NY · BC capacity

Dec 5, 1995 → Jun 9, 1999
Banca Imi Securities Corp.
New York, NY · BC capacity

Mar 9, 1992 → Nov 17, 1995
Ubs Securities Inc.
BC capacity

Jan 4, 1991 → Mar 6, 1992
L. F. Rothschild & Co. Incorporated
BC capacity

Jun 30, 1987 → Jan 19, 1989

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1704247 ↗ FINRA BrokerCheck record for CRD 1704247 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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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.