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Katherine Elizabeth Humphreys

Wells Fargo Clearing Services, LLC

St. Louis, MO

Saint Louis, MO

Wells Fargo Advisors Financial Network, LLC

St. Louis, MO

Saint Louis, MO

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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
MO RA APPROVED 2024-06-27
  • MO RA
    APPROVED
    Since 2024-06-27

Branch Locations

One N Jefferson Ave, St. Louis, MO 63103 • United States

Saint Louis, MO • United States

Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2018-05-22
TX RA APPROVED 2017-10-24
  • MO RA
    APPROVED
    Since 2018-05-22
  • TX RA
    APPROVED
    Since 2017-10-24

Branch Locations

One N Jefferson Ave, St. Louis, MO 63103 • United States

Saint Louis, MO • 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 St. Louis MO 11/2012 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 10/2017
Wells Fargo Advisors Financial Netwok, Llc St Louis MO 10/2017 Present
  • 11/2012 → 11/2016
    Wells Fargo Advisors, Llc
    St. Louis, MO
  • 11/2016 → 10/2017
    Wells Fargo Clearing Services, Llc
    St. Louis, MO
  • 10/2017 → Present
    Wells Fargo Advisors Financial Netwok, Llc
    St Louis, MO
Previous Registrations
Other Businesses

NEEDLEPOINT CLUBHOUSE, NOT INV RELATED, ST. LOUIS, MO, ASSOCIATE, START 8/3/2019, 12 HOURS PER MONTH, ZERO DURING TRADING, RETAIL SALES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-19
S63 Uniform Securities Agent State Law Examination 2013-01-31
  • S66 Uniform Combined State Law Examination
    2018-05-19
  • S63 Uniform Securities Agent State Law Examination
    2013-01-31

View on SEC IAPD

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