Best Investors Account Sign in

Cathleen Susan Brock

Wells Fargo Clearing Services, LLC

Fort Walton Beach, FL

Birmingham, AL

CRD 2201765

Claim This Profile
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
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
  • Certified Financial Planner
Other Names
  • Cathleen Susan Wayner
  • Cathy Wayner

View on SEC IAPD

Nearby Firms

PLANMEMBER SECURITIES CORPORATION
LPL FINANCIAL LLC
D3 ADVISORS LLC

Nearby Investors

TOBIE ELLEN FLOYD
VIRGINIA AUDREY COOKE LIND
Mary McCaslin Tinsley

Nearby Offices

PLANMEMBER SECURITIES CORPORATION · FORT WALTON BEACH, FL
LPL FINANCIAL LLC · FORT WALTON BEACH, FL
D3 ADVISORS LLC · FORT WALTON BEACH, FL

More in Fort Walton Beach, FL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor