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Katherine Lyne Nelson

Wells Fargo Clearing Services, LLC

Portland, ME

Kennebunk, ME

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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 2018-07-16
ME RA APPROVED 2005-12-02
  • TX RA
    APPROVED_RES
    Since 2018-07-16
  • ME RA
    APPROVED
    Since 2005-12-02

Branch Locations

1 Portland Square Ste 6A, Portland, ME 04101 • United States

Kennebunk, ME • 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 Portland ME 05/2009 11/2016
Wells Fargo Clearing Services, Llc Portland ME 11/2016 Present
Previous Registrations
  • 2005-09-27 → 2005-12-20
    Advest, Inc.
    Portland, ME
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-15
S63 Uniform Securities Agent State Law Examination 1995-01-26
  • S65 Uniform Investment Adviser Law Examination
    2004-03-15
  • S63 Uniform Securities Agent State Law Examination
    1995-01-26
Other Names
  • Katherine Lyne Dumont

View on SEC IAPD

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