Cathy J Carlone

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-04-11
CA	RA	APPROVED	2004-10-29

TX RA
APPROVED_RES

Since 2011-04-11
CA RA
APPROVED

Since 2004-10-29

Branch Locations

26135 Carmel Rancho Blvd Ste E-200, Carmel, CA 93923 • 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	Carmel	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Carmel	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Carmel, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Carmel, CA

Other Businesses

GRIT & TONIC PILATES STUDIO; NOT INV RELATED; MONTEREY,CA; HEALTHY LIFESTYLE EXCERCISES; PILATES INSTRUCTOR; START DATE: 01/12/2026; 10 HRS PER MONTH; 0 HRS DURING TRADING; CLUB PILATES - FITNESS INSTRUCTOR; NOT INV RELATED;PACIFIC GROVE,CA; FITNESS ; START DATE: 06/08/2026; 8 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-28

S66 Uniform Combined State Law Examination

2004-10-28

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

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