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Katie Edwards

Wells Fargo Clearing Services, LLC

Charlotte, NC

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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
NC RA APPROVED 2024-06-19
  • NC RA
    APPROVED
    Since 2024-06-19

Branch Locations

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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
The Vanguard Group, Inc. Charlotte NC 09/2018 03/2020
Ikea Charlotte NC 10/2016 08/2018
Food Lion Charlotte NC 09/2016 10/2016
Wells Fargo Clearing Services, Llc Charlotte NC 03/2020 Present
  • 09/2018 → 03/2020
    The Vanguard Group, Inc.
    Charlotte, NC
  • 10/2016 → 08/2018
    Ikea
    Charlotte, NC
  • 09/2016 → 10/2016
    Food Lion
    Charlotte, NC
  • 03/2020 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-18
S63 Uniform Securities Agent State Law Examination 2018-11-16
  • S66 Uniform Combined State Law Examination
    2024-06-18
  • S63 Uniform Securities Agent State Law Examination
    2018-11-16
Other Names
  • Katie Hart
  • Katie Marie Hart

View on SEC IAPD

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