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Katherine Jean Richardson

Wells Fargo Clearing Services, LLC

Norfolk, VA

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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 2016-10-18
VA RA APPROVED 2012-10-24
  • TX RA
    APPROVED_RES
    Since 2016-10-18
  • VA RA
    APPROVED
    Since 2012-10-24

Branch Locations

999 Waterside Dr Ste 1800 Dominion Tower, Norfolk, VA 23510 • 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 Norfolk VA 10/2012 11/2016
Wells Fargo Clearing Services, Llc Norfolk VA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-07
S63 Uniform Securities Agent State Law Examination 1993-08-25
  • S65 Uniform Investment Adviser Law Examination
    1995-08-07
  • S63 Uniform Securities Agent State Law Examination
    1993-08-25
Other Names
  • Kathy Richardson

View on SEC IAPD

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