ROBERT SENECA at WELLS FARGO CLEARING SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7603948
ROBERT SENECA is an Investment Adviser, associated with WELLS FARGO CLEARING SERVICES, LLC located at SALT LAKE CITY, UT. ROBERT SENECA’s Central Registration Depository (CRD) number is 7603948 and the FINRA Profile can be found at –

Disclosure #1 for ROBERT SENECA

    • Event Date: 9/21/2018
    • Disclosure Type: Financial
    • Resolution: Final
    • Type: Bankruptcy
    • Disposition: Direct Payment Procedure
    • Broker Comment: The last six months of working with Utah Barricade in 2017, my wrist started to hurt from being over used since my job was very labor intensive. I ended up having surgery on my wrist in November, the week of Thanksgiving. I was in a sling for the first month, then a cast from my hand to just below my elbow for the next three months. After that, I did physical therapy for the next three months. I was told I could be on \light duty\ while I recovered. They didn’t have a lot of \light duty\ work for me and told me to call everyday to see if they had any work for me so my income was going to suffer not having much work to do. I wouldn’t have been able to return to normal duty for at least six months if I stayed with that job. My injury gave me an excuse to leave that job and return to school. I was wanting to return to school for years to finish my bachelor’s degree. I was making $15/ hour working 40 – 60hrs per week with over time pay while at Utah Barricade. We were able to pay bills and make ends meet, barely. I returned to school in January 2018 and started working at Target in February making $12/hr part time. Our income dropped drastically. Financial aid helped only at the beginning of each semester and we weren’t able to keep up with our bills after the job change due to my injury. We filed for Chapter 13 bankruptcy in September on a five year plan. We’re going on four years this coming September and plan to be discharged next September 2023. We’ve been keeping up with our monthly payments to the trustee even after they’ve gone up.
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Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by ROBERT SENECA’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About ROBERT SENECA

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Visit to read a detailed report for WELLS FARGO CLEARING SERVICES, LLC

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Yes. There are disclosures, allegations, or complaints filed against ROBERT SENECA. Click here to view all details

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We’re not sure. Please research ROBERT SENECA’s disclosures, allegations and complaints before taking a decision

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Originally reported on November 17, 2022 @ 9:37 pm

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