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Katharine Taylor Cain

Wells Fargo Clearing Services, LLC

Winston Salem, NC

Greensboro, NC

CRD 7077635

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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_RES 2022-01-14
NC RA APPROVED 2020-07-01
  • TX RA
    APPROVED_RES
    Since 2022-01-14
  • NC RA
    APPROVED
    Since 2020-07-01

Branch Locations

380 Knollwood St Ste 600, Winston Salem, NC 27103 • United States

806 Green Valley Rd Ste 100, Greensboro, NC 27408 • 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 Clearing Services, Llc Greensboro NC 07/2019 Present
Old Town Draught House Greensboro NC 10/2015 Present
Aerotek Greensboro NC 02/2019 07/2019
  • 07/2019 → Present
    Wells Fargo Clearing Services, Llc
    Greensboro, NC
  • 10/2015 → Present
    Old Town Draught House
    Greensboro, NC
  • 02/2019 → 07/2019
    Aerotek
    Greensboro, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-30
  • S66 Uniform Combined State Law Examination
    2020-06-30
Other Names
  • Katharine Rechtin
  • Katharine Taylor Rechtin

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC

Nearby Investors

JASON PAUL STERN
RYAN EDWARD BEAUDRY
CARLA WICKLINE THRASHER

Nearby Offices

WELLS FARGO CLEARING SERVICES, LLC · WINSTON SALEM, NC
LPL FINANCIAL LLC · WINSTON SALEM, NC
EDWARD JONES · WINSTON SALEM, NC

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