Roger Turner

CRD 2399867 · Wells Fargo Advisors · St. Louis, MO

IA RegisteredBroker

Also appears in the source record as: Roger Nathaniel Turner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 99TOSIESeries 7Series 6Series 10Series 9Series 66Series 65Series 63
Registered states (4): Arkansas · Massachusetts · Utah · Virginia
Years in the industry (source record): 23
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: 11025
SEC number: 801-57434
Assets under management: $252.3B as of Jun 3, 2026
Website: stories.wf.com ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (20)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Richmond, VA · BC capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
St. Louis, MO · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Henrico, VA · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Richmond, VA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Richmond, VA · IA capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
St. Louis, MO · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Henrico, VA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Richmond, VA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Richmond, VA · IA capacity

start not retrieved → present
First Clearing, LLC
St. Louis, MO · BC capacity

Aug 4, 2014 → Nov 22, 2016
Wm Financial Services, Inc.
Inglewood, CA · IA capacity

Oct 11, 2005 → Nov 17, 2006
Wm Financial Services, Inc.
Inglewood, CA · BC capacity

Oct 10, 2005 → Nov 17, 2006
Sunamerica Securities, Inc.
Phoenix, AZ · BC capacity

Jul 27, 2005 → Aug 19, 2005
Sterne Agee Financial Services, Inc.
Birmingham, AL · BC capacity

Oct 8, 2002 → May 19, 2005
Farmers Financial Solutions, LLC
Westlake Village, CA · BC capacity

Oct 22, 2001 → Dec 6, 2001
Quest Capital Strategies, Inc.
Laguna Hills, CA · BC capacity

Nov 8, 2000 → Aug 21, 2001
J.P. Morgan Securities Inc.
New York, NY · BC capacity

Oct 26, 1999 → Sep 7, 2000
Sunamerica Capital Services, Inc.
Jersey City, NJ · BC capacity

Oct 22, 1998 → Nov 18, 1998
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Oct 26, 1993 → Dec 8, 1993
Equico Securities, Inc.
New York, NY · BC capacity

Oct 26, 1993 → Dec 8, 1993

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 2399867 ↗ FINRA BrokerCheck record for CRD 2399867 ↗ 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.