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Katherine Ann Fleiss

Wells Fargo Clearing Services, LLC

Washington, DC

Chevy Chase, MD

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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
MD RA APPROVED 2024-06-25
TX RA APPROVED 2022-09-07
DC RA APPROVED 2022-06-15
  • MD RA
    APPROVED
    Since 2024-06-25
  • TX RA
    APPROVED
    Since 2022-09-07
  • DC RA
    APPROVED
    Since 2022-06-15

Branch Locations

1700 K St Nw Ste 875, Washington, DC 20006 • United States

Chevy Chase, MD • 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 Clearing Services, Llc Washington DC 12/2021 Present
Lynx Investment Advisory Washington DC 01/2010 12/2018
Brown Advisory Chevy Chase MD 01/2019 08/2021
Unemployed Chevy Chase MD 09/2021 11/2021
  • 12/2021 → Present
    Wells Fargo Clearing Services, Llc
    Washington, DC
  • 01/2010 → 12/2018
    Lynx Investment Advisory
    Washington, DC
  • 01/2019 → 08/2021
    Brown Advisory
    Chevy Chase, MD
  • 09/2021 → 11/2021
    Unemployed
    Chevy Chase, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-15
S63 Uniform Securities Agent State Law Examination 2003-02-22
  • S66 Uniform Combined State Law Examination
    2022-04-15
  • S63 Uniform Securities Agent State Law Examination
    2003-02-22
Other Names
  • Katherine Ann Fleiss
  • Katherine A Fleiss

View on SEC IAPD

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BRYSPEN, INCORPORATED · WASHINGTON, DC
3WIRE INVESTMENT · WASHINGTON, DC
LPL FINANCIAL LLC · WASHINGTON, DC
ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC
C5 CAPITAL USA LLC · WASHINGTON, DC
AEB CAPITAL · WASHINGTON, DC
DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC
A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

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