Roger Darron Steele

CRD 2857036 · Wells Fargo Advisors · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Roger D Steele

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (33): Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Rhode Island · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2857036 contains one or more disclosure events as of Aug 20, 2026.

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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 (7)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
Los Angeles, CA · IA capacity

Jul 14, 2004 → Jan 3, 2011
Wells Fargo Investments, LLC
Los Angeles, CA · BC capacity

Jul 14, 2004 → Jan 3, 2011
Banc Of America Investment Services, Inc.
Los Angeles, CA · IA capacity

Nov 1, 2002 → Jul 2, 2004
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

May 17, 2001 → Jul 2, 2004
Ba Investment Services, Inc.
Oakland, CA · BC capacity

Apr 7, 1997 → Jul 12, 1999

Source & corrections

Where this page comes from

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