Michael James Rodgers
Also appears in the source record as: Michael J Rodgers; Mike Rodgers
Registration & licensing
As recorded in SEC IAPD / FINRA BrokerCheck
- Broker-dealer registration
- Active
- Investment adviser registration
- Active
- Exams passed (4)
- SIESeries 7Series 65Series 63
- Registered states (7)
- California · Colorado · Indiana · Missouri · Nevada · Oregon · Pennsylvania
- Years in the industry (source record)
- 26
- Professional designations
- Not yet retrieved from the source record
Disclosures
Copied from the official record
The official record for CRD 4026249 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:
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 (22)
From the source registration record · current first
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start not retrieved → present
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start not retrieved → present
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start not retrieved → present
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U.S. Bancorp Investments, Inc.Laguna Niguel, CA · IA capacityFeb 20, 2019 → Feb 3, 2023
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U.S. Bancorp Investments, Inc.Laguna Niguel, CA · BC capacityFeb 19, 2019 → Feb 3, 2023
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Unionbanc Investment Services, LLCDana Point, CA · IA capacityMay 13, 2009 → Feb 21, 2019
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Unionbanc Investment Services, LLCDana Point, CA · BC capacityMay 13, 2009 → Feb 21, 2019
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Cuso Financial Services, L.P.Glendale, CA · IA capacityMay 7, 2009 → May 8, 2009
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Cuso Financial Services, L.P.Glendale, CA · BC capacityMay 7, 2009 → May 8, 2009
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First Trust Advisors LPWheaton, IL · IA capacityNov 21, 2008 → Feb 24, 2009
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First Trust Portfolios L.P.Wheaton, IL · BC capacityApr 16, 2008 → Feb 24, 2009
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Cuna Brokerage Services, Inc.Costa Mesa, CA · IA capacityJan 19, 2007 → Apr 15, 2008
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Cuna Brokerage Services, Inc.Costa Mesa, CA · BC capacityJan 19, 2007 → Apr 15, 2008
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Wm Financial Services, Inc.Laguna Hills, CA · IA capacityAug 9, 2005 → Jan 3, 2007
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Wm Financial Services, Inc.Laguna Hills, CA · BC capacityAug 9, 2005 → Jan 3, 2007
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Citicorp Investment ServicesPorterville, CA · IA capacityMay 16, 2003 → Aug 29, 2005
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Citicorp Investment ServicesLong Island City, NY · BC capacityMay 16, 2003 → Aug 29, 2005
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Wells Fargo Investments, LLCFresno, CA · IA capacityJan 29, 2002 → May 23, 2003
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Wells Fargo Investments, LLCSan Francisco, CA · BC capacityMay 2, 2001 → May 23, 2003
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Wells Fargo Securities Inc.San Francisco, CA · BC capacityMar 28, 2001 → May 2, 2001
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A. G. Edwards & Sons, Inc.St. Louis, MO · BC capacityMar 29, 2000 → Mar 14, 2001
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Merrill Lynch, Pierce, Fenner & Smith IncorporatedNew York, NY · BC capacityJan 6, 2000 → Mar 1, 2000
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.
Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.