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Kathy Monroe Day

Wells Fargo Clearing Services, LLC

Charlotte, NC

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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_RES 2022-11-14
  • TX RA
    APPROVED_RES
    Since 2022-11-14

Branch Locations

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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
Wachovia Bank Na Charlotte NC 06/2002 Present
Wells Fargo Advisors Llc Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank Na
    Charlotte, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Charlotte, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-07-09
  • S63 Uniform Securities Agent State Law Examination
    2013-07-09
Other Names
  • Kathy Monroe

View on SEC IAPD

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