Kathleen Ann Peterson

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-09-19
TX	RA	APPROVED	2025-09-19

NY RA
APPROVED

Since 2025-09-19
TX RA
APPROVED

Since 2025-09-19

Branch Locations

6044 Main Street, Williamsville, NY 14221 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Orchard Park	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Orchard Park	NY	11/2016	09/2025
Wells Fargo Advisors Financial Network, Llc	Orchard Park	NY	09/2025	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Orchard Park, NY
11/2016 → 09/2025

Wells Fargo Clearing Services, Llc

Orchard Park, NY
09/2025 → Present

Wells Fargo Advisors Financial Network, Llc

Orchard Park, NY

Previous Registrations

2009-06-15 → 2025-09-19

Wells Fargo Clearing Services, Llc

Williamsville, NY

Orchard Park, NY

Williamsville, NY

Other Businesses

NOTARY; NOT INVESTMENT RELATED; HAMBURG, NEW YORK; START DATE 5/2012; 1 HR PER MONTH; AS NEEDED DURING TRADING HOURS. ST. JAMES UNITED CHURCH OF CHRIST, INV. RELATED, HAMBURG, NY. ASSISTANT TREASURER, START: 4/15/18, 2 HOURS/MONTH, 0 DURING TRADING, OVERSEES THE BUDGET AND EXPENSES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-08
S63	Uniform Securities Agent State Law Examination	1994-06-03

S65 Uniform Investment Adviser Law Examination

2001-08-08
S63 Uniform Securities Agent State Law Examination

1994-06-03

View on SEC IAPD