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Kathleen Michelle Hogan

Wells Fargo Clearing Services, LLC

Rolling Hills Estates, CA

Manhattan Beach, CA

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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
TX RA APPROVED 2023-01-31
CA RA APPROVED 2021-04-01
  • TX RA
    APPROVED
    Since 2023-01-31
  • CA RA
    APPROVED
    Since 2021-04-01

Branch Locations

500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States

Manhattan Beach, CA • 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 Rolling Hills Estates CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rolling Hills Estates CA 11/2016 Present
Other Businesses

TRUSTEE OF TRUSTS FOR CO-WORKER; INV. RELATED; PALOS VERDES ESTATES, CA; START DATE 12/8/2017; 4 HRS PER MONTH, 4 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-21
S63 Uniform Securities Agent State Law Examination 1991-02-06
  • S65 Uniform Investment Adviser Law Examination
    2021-06-21
  • S63 Uniform Securities Agent State Law Examination
    1991-02-06
Other Names
  • Kathleen M Hogan

View on SEC IAPD

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Other Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
LPL FINANCIAL LLC · RANCHO PALOS VERDES, CA
RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
RBC CAPITAL MARKETS, LLC · Rolling Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING HILLS ESTATES, CA
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