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Catherine Christine Cronauer

Wells Fargo Clearing Services, LLC

Bel Air, MD

CRD 1902238

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2021-12-07
TX RA APPROVED 2014-02-12
MD RA APPROVED 2007-03-16
  • ID RA
    APPROVED
    Since 2021-12-07
  • TX RA
    APPROVED
    Since 2014-02-12
  • MD RA
    APPROVED
    Since 2007-03-16

Branch Locations

2 S Main St, Bel Air, MD 21014 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Bel Air MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bel Air MD 11/2016 Present
Previous Registrations
  • 2006-02-21 → 2007-03-26
    Citigroup Global Markets Inc.
    Bel Air, MD
    New York, NY
    Bel Air, MD
  • 2001-09-28 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Bel Air, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-27
S63 Uniform Securities Agent State Law Examination 1996-03-11
  • S65 Uniform Investment Adviser Law Examination
    2001-08-27
  • S63 Uniform Securities Agent State Law Examination
    1996-03-11
Other Names
  • Catherine Christine Knorr

View on SEC IAPD

Nearby Firms

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
OSAIC WEALTH, INC.
FOUNDERS FINANCIAL SECURITIES LLC

Nearby Investors

MELISSA MARIE MULLAN
ERIK LOUIS KELLER
ADAM WILLIS FREELAND

Nearby Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · BEL AIR, MD
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bel Air, MD
OSAIC WEALTH, INC. · BEL AIR, MD

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