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Kathleen Annette Becker

Wells Fargo Clearing Services, LLC

Hanover, PA

York, PA

CRD 2052238

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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
PA RA APPROVED 2011-07-07
  • PA RA
    APPROVED
    Since 2011-07-07

Branch Locations

Hanover, PA • United States

221 W Philadelphia St Ste 112E, York, PA 17401 • 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 Advisors Llc Hanover PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hanover PA 11/2016 Present
Other Businesses

BECKER INVESTMENTS, INV RELATED, 100% OWNERSHIP WITH SPOUSE, START 1/1/2020, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-27
  • S66 Uniform Combined State Law Examination
    2011-06-27
Other Names
  • Kathleen Annette Brown
  • Kathy Brown
  • Kathy Becker

View on SEC IAPD

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