Katherine Anne Dobin

Current Employers

Employment History

• 09/2008 → 05/2020
  Wachovia Bank, N.A.
  Baltimore, MD
• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Edison, NJ
• 11/2016 → 05/2020
  Wells Fargo Clearing Services, Llc
  Edison, NJ
• 05/2020 → 07/2025
  Ameriprise Financial Services, Llc
  Colts Neck, NJ
• 07/2025 → Present
  Lpl Enterprise, Llc
  East Brunswick, NJ

Previous Registrations

• 2020-05-22 → 2025-07-11
  Ameriprise Financial Services, Llc
  Colts Neck, NJ
  Holmdel, NJ
  Middletown, NJ
• 2008-10-13 → 2020-05-27
  Wells Fargo Clearing Services, Llc
  Short Hills, NJ
  Carteret, NJ
  Baltimore, MD
  Oakhurst, NJ
  Edison, NJ
  Columbia, MD
  Short Hills, NJ
  Short Hills, NJ
  Warren, NJ
  Oakhurst, NJ
  Woodbridge, NJ
  Abingdon, MD
  Colonia, NJ
  Metuchen, NJ

Other Businesses

1. 07/09/2025 - Club Pilates - Outside/W-2 Employment - Non Inv Related - Ocean, NJ - Start Date 02/12/2023 - 20hrs/MTH 0hrs/MTH During Trading 2. 07/09/2025 - Laurie Gallant - Act in a Fiduciary Capacity - Non Inv Related - North Middletown, NJ - Start Date 06/15/2015 - 2hrs/MTH 0hrs/MTH During Trading 3. 07/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Middletown, NJ - Start Date 06/09/2025 - 160hrs/MTH 160hrs/MTH During Trading 4. 08/13/2025-Bayshore Barks Pet Grooming LLC-Owner-Business Owner-Not inv related-At Keansburg, NJ-Start date 09/01/2025-20hrs/mth-0hrs/mth during trading 4. 07/09/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Middletown, NJ - Start Date 06/09/2025 - 160hrs/MTH 160hrs/MTH During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-10-09
• S63 Uniform Securities Agent State Law Examination
  2008-09-20

Other Names

• Katherine Anne Gallant
• Katherine Gallant
• Katherine Anne Gallant
• Katherine Anne Cerdeira
• Katherine Dobin