ROGER BRYAN SIMS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1701 GREENVILLE BOULEVARD SE, GREENVILLE, NC, 27858.
ROGER BRYAN SIMS has worked at WELLS FARGO CLEARING SERVICES, LLC since August 30, 2013
Disclosure History
ROGER BRYAN SIMS has 1 Disclosure Event(s).
Date: November 21, 2008 Category: Financial Type: Bankruptcy Disposition: SIPA Trustee Appointed Broker Comment: I WORKED FOR FOUNTAIN POWERBOATS IN 2006 AND 2007 AND MY PAY WAS DRASTICALLY CUT AT THE END OF 2006. THE COMPANY WAS GOING OUT OF BUSINESS AND WE BEGAN TO WORK LESS HOURS. I CHANGED JOBS IN APRIL 2007, BUT WAS MAKING ALMOST $10,000 LESS. MY WIFE AND I TRIED OUR BEST TO PAY ALL CREDITORS, BUT UNFORTUNATELY WE JUST WERE NOT MAKING ENOUGH. WE FILED FOR CHAPTER 13 IN NOVEMBER 2008 AND HAVE NOT MISSED A PAYMENT SINCE. THE CHAPTER 13 PAYMENTS WILL CONCLUDE IN SEPTEMBER 2013, SO WE ONLY HAVE 3 MORE PAYMENTS TO MAKE AND WE WILL BE FINISHED WITH OUR PAYMENT OBLIGATIONS. WE THEN SHOULD RECEIVE NOTICE OF DISCHARGE WITHIN 30-45 DAYS AFTER FINAL PAYMENT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ROGER BRYAN SIMS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.