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Katherine Elizabeth Gowans

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Minneapolis, MN

CRD 7165977

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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
MN RA APPROVED 2020-02-24
  • MN RA
    APPROVED
    Since 2020-02-24

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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 Bank Minneapolis MN 08/2019 Present
Wells Fargo Clearing Services Minneapolis MN 08/2019 Present
Wells Fargo Bank Minneapolis MN 03/2015 09/2019
  • 08/2019 → Present
    Wells Fargo Bank
    Minneapolis, MN
  • 08/2019 → Present
    Wells Fargo Clearing Services
    Minneapolis, MN
  • 03/2015 → 09/2019
    Wells Fargo Bank
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-24
  • S66 Uniform Combined State Law Examination
    2020-02-24

View on SEC IAPD

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