Katie Rozen, financial advisor Grand Rapids MI
93 score

Katie Rozen

CRD Number: 5538006
Current Firm: Wells Fargo Clearing Services, LLC

Katie Rozen (CRD# 5538006) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Grand Rapids, MI and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Clearing Services, LLC Grand Rapids, MI Nov 2016 - Current 1
Wells Fargo Advisors, LLC Grand Rapids, MI Jul 2016 - Nov 2016 < 1
Tiaa Grand Rapids, MI Sep 2015 - Jul 2016 < 1
Tiaa-cref Individual & Institutional Services, LLC Grand Rapids, MI Sep 2015 - Jul 2016 < 1
Lpl Grand Rapids, MI Sep 2014 - Sep 2015 1
Pnc Investments Grand Rapids, MI May 2014 - Sep 2014 < 1
Unemployed N/a, MI Sep 2013 - May 2014 < 1
Edward Jones St Louis, MO May 2008 - Sep 2013 5
Citizens Republic Bancorp Flint, MI Mar 2005 - May 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2008
Contact Info for Katie M. Rozen
Phone Number: 314-875-3000
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    409,716
    MILLIONS
  • Total Number of Accounts
    1,359,521
    ACCOUNTS
  • Average Account Value
    $301,368
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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