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Catherine Marie Floss

Wells Fargo Clearing Services, LLC

Las Vegas, NV

Las Vegas, NV

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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
TX RA APPROVED_RES 2025-10-15
NV RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2025-10-15
  • NV RA
    APPROVED
    Since 2011-01-03

Branch Locations

8474 Rozita Lee Ave Ste 400 [Sd-Rbo], Las Vegas, NV 89113 • United States

7255 S Rainbow Blvd, Las Vegas, NV 89118 • 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 Bank, N.A. Las Vegas NV 03/2010 Present
Wells Fargo Advisors Llc Las Vegas NV 01/2011 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
  • 03/2010 → Present
    Wells Fargo Bank, N.A.
    Las Vegas, NV
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Las Vegas, NV
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Las Vegas, NV
Previous Registrations
  • 2010-08-26 → 2011-01-03
    Wells Fargo Investments, Llc
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-21
S63 Uniform Securities Agent State Law Examination 2007-06-30
  • S66 Uniform Combined State Law Examination
    2010-08-21
  • S63 Uniform Securities Agent State Law Examination
    2007-06-30
Other Names
  • Cathy M Floss
  • Catherine Floss

View on SEC IAPD

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Other Offices

YH&C INVESTMENTS INC. · LAS VEGAS, NV
MM MACHINE, LLC · LAS VEGAS, NV
QUANTIFIX CAPITAL MANAGEMENT, LLC · LAS VEGAS, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAS VEGAS, NV
AI AGENT CAPITAL, LLC · LAS VEGAS, NV
BETTER CAPITAL MANAGEMENT LLC · LAS VEGAS, NV
U.S. BANCORP ADVISORS, LLC · Las Vegas, NV
ROSTEN CAPITAL INVESTMENTS LLC · LAS VEGAS, NV

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