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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-06-05
TX RA APPROVED 2019-06-05
  • IL RA
    APPROVED
    Since 2019-06-05
  • TX RA
    APPROVED
    Since 2019-06-05

Branch Locations

1849 Green Bay Rd Ste 200, Highland Park, IL 60035 • 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 Deerfield IL 01/2013 11/2016
Wells Fargo Clearing Services, Llc Deerfield IL 11/2016 06/2019
Wells Fargo Advisors Financial Network, Llc Highland Park IL 06/2019 Present
Previous Registrations
  • 2013-12-10 → 2019-06-05
    Deerfield, IL
    Highland Park, IL
  • 2007-04-02 → 2008-04-18
    Morgan Stanley & Co. Llc
    Rancho Sante Fe, CA
    Chicago, IL
  • 2002-08-05 → 2007-04-02
    Morgan Stanley Dw Inc.
    Rancho Sante Fe, CA
    Chicago, IL
    Rancho Santa, CA
Other Businesses

POA FOR MOTHER; INVESTMENT RELATED; HIGHLAND PARK, IL; 01/01/2010; 8 HOURS PER MONTH/ 0 DURING TRADING.; TRUSTEE FOR MOTHER, INV RELATED, NORTHBROOK, IL, START: 3/9/2020, 6 HRS/MONTH, 0 HRS DURING TRADING.; EXECUTOR FOR MOTHER, INV RELATED, NORTHBROOK, IL, START: 2/19/2021, 4 HRS/MONTH, 1 HR DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-10
  • S66 Uniform Combined State Law Examination
    2013-12-10
Other Names
  • Karen Meldman
  • Karen M Finerman
  • Karen Finerman

View on SEC IAPD

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