Roscoe R. Betz

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CRD#: 20702

Professional summary

Roscoe Richard Betz JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roscoe is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, Roscoe had worked at 6 firms, which includes WELLS FARGO CLEARING SERVICES LLC, KEYBANC CAPITAL MARKETS INC., HAMILTON INVESTMENTS INC., OBERWEIS SECURITIES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, BELL & BECKWITH.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 12, 2003 - September 6, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TOLEDO, OH

Past

March 1, 1995 - September 6, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TOLEDO, OH

Past

January 16, 1992 - January 9, 1995

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

December 8, 1988 - December 2, 1991

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

March 14, 1983 - September 12, 1985

OBERWEIS SECURITIES, INC.

CRD#: 7739

Past

May 24, 1982 - September 16, 1983

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

Past

January 5, 1970 - February 10, 1983

BELL & BECKWITH

CRD#: 1203

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/11/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 11/8/1962

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/8/1975

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 1/8/1970

Registered Principal Examination

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

19,017

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)

WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)

WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)

WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRONK, DARRELL	HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL	2498892
GINDI, SOL	PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL	4903526
KARANIK, ERIK ANTHONY	BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL	5616656
PATEL, RAKESH	CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS	5385585
SAUNDERS, DAVID WARD	DESIGNATED STATE PRINCIPAL	2448617
SOMESHWAR, PRASANNA	HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL	7491790
SOMMERS, BARRY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2301454
TSAMADIAS, CHRISTOS G	CHIEF COMPLIANCE OFFICER	5433568

Regulatory assets under management

Total Number of Accounts	1,327,695
AUM (Assets Under Management)	$ 606,037,831,365

Disclosures

Regulatory Event	182
Civil Event	2
Arbitration	303

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Roscoe R. Betz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

KEYBANC CAPITAL MARKETS INC.

HAMILTON INVESTMENTS, INC.

OBERWEIS SECURITIES, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BELL & BECKWITH

Primary Firm SEC Registration

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/1985

Series 1

Date: 11/8/1962

Series 4

Date: 5/8/1975

Series 40

Date: 1/8/1970

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO CLEARING SERVICES, LLC

TRUST BUT VERIFY

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