Richard Louis Trotta

CRD 5302278 · Wells Fargo Advisors · Blue Bell, PA

IA RegisteredBroker

Also appears in the source record as: Richard Louis Trotta Jr; Richard Trotta

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 (8): Delaware · Florida · Maine · New Jersey · New York · North Carolina · Pennsylvania · South Carolina
Years in the industry (source record): 18
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 (16)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Blue Bell, PA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Blue Bell, PA · BC capacity

start not retrieved → present
Citizens Securities, Inc.
Nanticoke, PA · IA capacity

May 20, 2022 → Apr 19, 2024
Citizens Securities, Inc.
Nanticoke, PA · BC capacity

May 20, 2022 → Apr 19, 2024
Santander Securities
Easton, PA · IA capacity

May 31, 2016 → Apr 8, 2022
Santander Securities LLC
Easton, PA · BC capacity

May 31, 2016 → Apr 8, 2022
Sterne Agee Investment Advisor Services, Inc.
Birmingham, AL · IA capacity

Jan 30, 2015 → Jun 7, 2016
Sterne Agee Financial Services, Inc.
Schnecksville, PA · BC capacity

Jan 2, 2015 → Jun 7, 2016
Sterne Agee Investment Advisor Services, Inc.
Youngstown, OH · IA capacity

Jan 6, 2015 → Jan 30, 2015
Keystone Capital Corporation
Orefield, PA · IA capacity

May 9, 2013 → Jan 9, 2015
Keystone Capital Corporation
Orefield, PA · BC capacity

May 7, 2013 → Jan 9, 2015
Liberty Asset Management
Allentown, PA · IA capacity

Nov 20, 2012 → Aug 6, 2013
Comprehensive Asset Management And Servicing, Inc.
Allentown, PA · BC capacity

Dec 5, 2012 → Apr 26, 2013
Raymond James Financial Services Advisors, Inc
Saint Petersburg, FL · IA capacity

Jan 2, 2009 → Oct 20, 2009
Raymond James Financial Services, Inc.
Emmaus, PA · BC capacity

Dec 18, 2008 → Oct 20, 2009
Raymond James Financial Services
Emmaus, PA · IA capacity

Dec 23, 2008 → Jan 2, 2009

Source & corrections

Where this page comes from

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