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Richard Andrew Roeser

CRD 5573203  ·  Wells Fargo Advisors  ·  Irvine, CA

IA RegisteredBroker

Also appears in the source record as: Richard Roeser; Drew Roeser

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration
Active
Investment adviser registration
Active
Exams passed (5)
SIESeries 31Series 7Series 65Series 66
Registered states (2)
California · Texas
Years in the industry (source record)
15
Professional designations
Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5573203 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 (19)

From the source registration record · current first

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 5573203 ↗ FINRA BrokerCheck record for CRD 5573203 ↗ 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.

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