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Roger Erichsen

Wells Fargo Advisors
35 Years of Experience
New York, NY
6 DisclosuresBroker
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Roger Erichsen is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 35 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

1 Penn Plz Fl 27, New York, NY, 10119

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008
Denied
Customer Dispute
May 2006
Award / Judgment
Customer Dispute
October 2002
Award / Judgment
Customer Dispute
August 2002
Settled
Customer Dispute
September 1998
Award / Judgment
Customer Dispute
October 1996
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
July 2021 - Present · 5 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
July 2003 - Present · 23 yrs 3 mos
Previous Registrations
Prudential Securities IncorporatedBroker
March 2001 - July 2003 · 2 yrs 4 mos
Salomon Smith Barney INC.Broker
July 1993 - March 2001 · 7 yrs 8 mos
Lehman Brothers INC.Broker
May 1991 - July 1993 · 2 yrs 2 mos
Prudential Securities IncorporatedBroker
November 1990 - May 1991 · 6 mos
State Registrations18 states
AZCACTDCDEFLGAILLAMAMDNCNJNYPARITXVA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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