Joseph Rottinghaus

WELLS FARGO SECURITIES

Denver, CO 80203

Some features on this profile are disabled

CRD#: 4357193

Professional summary

Joseph Rottinghaus, who also goes by Joe T Rottingahus, Joseph Terrance Rottinghaus, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Denver, Colorado.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe T Rottingahus | Joseph Terrance Rottinghaus

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) - BD

Click below to view Joseph Rottinghaus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 29, 2022 - Present

WELLS FARGO SECURITIES, LLC

Office #1: 1700 Lincoln Street, Denver, CO 80203

CRD#: 126292

Denver, CO

Past

April 14, 2021 - June 27, 2022

WELLS FARGO SECURITIES, LLC

CRD#: 126292

DENVER, CO

Past

October 11, 2011 - June 4, 2020

WELLS FARGO SECURITIES, LLC

CRD#: 126292

DENVER, CO

Past

April 30, 2001 - December 31, 2003

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/29/2022)

Exams

State Security Law Exam

Series 63

Date: 11/8/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/10/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 6

Date: 4/27/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO SECURITIES, LLC

WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC

CRD#: 126292 / SEC#: , 8-65876

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202

Mailing Address

1 N Jefferson Ave H0004-063, St. Louis, MO 63103

Phone number

(314) 875-3286

Established

Delaware since 03/05/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EVEREN CAPITAL CORPORATION	PARENT
CHESTER, KARA MCSHANE	DIRECTOR/MANAGER	2679854
CONNOR, TIMOTHY MICHAEL	PRINCIPAL FINANCIAL OFFICER	8157713
MACCHIO, PETER	CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER	2124187
OHARA, TIMOTHY PATRICK	DIRECTOR/MANAGER	2095368
PETERS, MARY LOU	DIRECTOR/MANAGER/CONTROL PRINCIPAL	4062788
RILEY, MICHAEL FRANCIS	DIRECTOR/MANAGER	4165280
RIVAS, FERNANDO S	CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER	4803269
SMITH, DANIEL D	CHIEF OPERATIONS OFFICER	5500659
THOMAS, DANIEL JEROME JR	DIRECTOR/MANAGER

Disclosures

Regulatory Event	158
Civil Event	1

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph Rottinghaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Rottinghaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2011

SIE

Date: 10/1/2018

Series 79

Date: 10/10/2011

Series 6

Date: 4/27/2001

FINRA

Current Firm

WELLS FARGO SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WELLS FARGO SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors