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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 2021-08-31
TN RA APPROVED 2021-03-19
  • TX RA
    APPROVED
    Since 2021-08-31
  • TN RA
    APPROVED
    Since 2021-03-19

Branch Locations

150 3Rd Ave S Ste 2100, Nashville, TN 37201 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Nashville TN 07/2016 03/2021
Bank Of America, N.A. Nashville TN 08/2016 03/2021
Wells Fargo Clearing Services, Llc. Nashville TN 03/2021 Present
Previous Registrations
Other Businesses

KT LLC ; INV RELATED;HENDERSONVILLE,TN; LLC;3% OWNERSHIP; START DATE: 05/26/2026; 10 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-09
  • S66 Uniform Combined State Law Examination
    2016-10-09
Other Names
  • Katherine L Faris
  • Katherine Lee Faris

View on SEC IAPD

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