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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

ROGER KENT STUBBS

Advisor at WELLS FARGO ADVISORS

TUCSON, AZ

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Search this name across graphsid dfx:ria:8e57151b-a9c8-a4e1-6404-b1a33da953aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 4, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 28, 1989
First registration: Nov 4, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1948665

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Sep 11, 2009	n/a	yes	TUCSON, AZ	Current employment
SOUTHWEST INVESTMENT ADVISORS, INC.	Former SEC adviser	Oct 20, 2005	Nov 23, 2009	no	TUCSON, AZ	Previous registration
SOUTHWEST INVESTMENT ADVISORS, INC.	Former SEC adviser	Oct 20, 2005	Dec 31, 2005	no	TUCSON, AZ	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Oct 20, 2005	Sep 9, 2009	no	TUCSON, AZ\|TUCSON, AZ	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 4, 2002	Feb 28, 2005	no	TUCSON, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SOUTHWEST INVESTMENT ADVISORS, INC.	WELLS FARGO ADVISORS	Nov 23, 2009	Sep 11, 2009	-73	Firm change after gap	RIA to wirehouse
FIRST ALLIED SECURITIES, INC.	SOUTHWEST INVESTMENT ADVISORS, INC.	Sep 9, 2009	Oct 20, 2005	-1,420	Firm change after gap	Other
SOUTHWEST INVESTMENT ADVISORS, INC.	FIRST ALLIED SECURITIES, INC.	Dec 31, 2005	Oct 20, 2005	-72	Firm change after gap	Other
MORGAN STANLEY DW INC.	SOUTHWEST INVESTMENT ADVISORS, INC.	Feb 28, 2005	Oct 20, 2005	234	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Sep 11, 2009 to presentfactForm ADV
→ SOUTHWEST INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Oct 20, 2005 to Nov 23, 2009factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Oct 20, 2005 to Sep 9, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 4, 2002 to Feb 28, 2005factForm ADV

Dated events

No dated event names this entity yet.