Katherine Elizabeth Ettingoff

Current Employers

J. W. Cole Advisors, Inc.

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2019-06-26

PA RA
APPROVED

Since 2019-06-26

Branch Locations

Wayne, PA • United States

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Radnor	PA	10/2015	11/2016
Wells Fargo Clearing Services, Llc	Radnor	PA	11/2016	04/2019
J.W. Cole Financial, Inc.	Tampa	FL	04/2019	Present
J.W. Cole Advisors, Inc.	Tampa	FL	06/2019	Present

10/2015 → 11/2016

Wells Fargo Advisors, Llc

Radnor, PA
11/2016 → 04/2019

Wells Fargo Clearing Services, Llc

Radnor, PA
04/2019 → Present

J.W. Cole Financial, Inc.

Tampa, FL
06/2019 → Present

J.W. Cole Advisors, Inc.

Tampa, FL

Previous Registrations

2017-02-08 → 2019-05-01

Wells Fargo Clearing Services, Llc

Radnor, PA

Other Businesses

DBA - ETTINGOFF WEALTH MANAGEMENT - INVESTMENT RELATED - DBA FOR SECURITIES BUSINESS - SAME AS BRANCH ADDRESS - 4/26/19 - 80 HRS PER MONTH DURING TRADING HRS - CLIENT ASSOCIATE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-02-08

S66 Uniform Combined State Law Examination

2017-02-08

Other Names

Katherine Elizabeth Erickson
Katherine Ettingoff

View on SEC IAPD