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Cathleen Susan Brock

Wells Fargo Clearing Services, LLC

Fort Walton Beach, FL

Birmingham, AL

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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 2021-04-30
FL RA APPROVED 2013-02-19
  • TX RA
    APPROVED
    Since 2021-04-30
  • FL RA
    APPROVED
    Since 2013-02-19

Branch Locations

91 Racetrack Rd Nw, Fort Walton Beach, FL 32547 • United States

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • 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 Fort Walton Beach FL 02/2013 11/2016
Wells Fargo Clearing Services, Llc Fort Walton Beach FL 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-02-25
S63 Uniform Securities Agent State Law Examination 1992-03-12
  • S66 Uniform Combined State Law Examination
    1999-02-25
  • S63 Uniform Securities Agent State Law Examination
    1992-03-12
Designations
Other Names
  • Cathleen Susan Wayner
  • Cathy Wayner

View on SEC IAPD

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Other Offices

PLANMEMBER SECURITIES CORPORATION · FORT WALTON BEACH, FL
LPL FINANCIAL LLC · FORT WALTON BEACH, FL
D3 ADVISORS LLC · FORT WALTON BEACH, FL
SLAGLE FINANCIAL, LLC. · Fort Walton Beach, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FT WALTON BEACH, FL
CETERA INVESTMENT ADVISERS LLC · FORT WALTON BEACH, FL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · FORT WALTON BEACH, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FORT WALTON BEACH, FL

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