Kathryn Teresa Bascom

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-06-28
AZ	RA	APPROVED	2017-05-18

TX RA
APPROVED

Since 2017-06-28
AZ RA
APPROVED

Since 2017-05-18

Branch Locations

8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • United States

231 S Phelps Dr, Apache Junction, AZ 85120 • United States

2112 S Ellsworth Rd, Mesa, AZ 85209 • 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
J.P. Morgan Securities Llc	Sun Lakes	AZ	10/2012	01/2017
Self	Mesa	AZ	11/2014	Present
Wells Fargo Clearing Services, Llc	Mesa	AZ	01/2017	Present

10/2012 → 01/2017

J.P. Morgan Securities Llc

Sun Lakes, AZ
11/2014 → Present

Self

Mesa, AZ
01/2017 → Present

Wells Fargo Clearing Services, Llc

Mesa, AZ

Other Businesses

JEWELS BY KAT, NOT INV RELATED, MESA, AZ, 100% OWNERSHIP, START 2/28/2017, 20 HOURS PER MONTH, ZERO DURING TRADING, MAKING AND SELLING JEWELRY IN CRAFT FAIRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-05-18
S63	Uniform Securities Agent State Law Examination	2005-07-22

S65 Uniform Investment Adviser Law Examination

2017-05-18
S63 Uniform Securities Agent State Law Examination

2005-07-22

Other Names

Kathryn Teresa Hill
Kathryn T Lo
Kathryn T Bascom

View on SEC IAPD