Best Investors Account Sign in

Katherine Louise Bernardi

Wells Fargo Clearing Services, LLC

Purchase, NY

Danbury, CT

Claim This Profile
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
CT RA APPROVED 2012-05-21
  • CT RA
    APPROVED
    Since 2012-05-21

Branch Locations

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • United States

1 Padanaram Rd, Danbury, CT 06811 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Danbury CT 04/2012 Present
  • 04/2012 → Present
    Wells Fargo Advisors Llc
    Danbury, CT
Previous Registrations
  • 2009-10-23 → 2012-04-24
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New Haven, CT
    New Milford, CT
    New Milford, CT
    Southbury, CT
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Derby, CT
    Seymour, CT
    New Milford, CT
    New Milford, CT
    New Milford, CT
    Kent, CT
    New Milford, CT
  • 2002-12-04 → 2004-10-20
    Quick & Reilly, Inc.
    New Milford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-26
S63 Uniform Securities Agent State Law Examination 1993-01-25
  • S65 Uniform Investment Adviser Law Examination
    1998-08-26
  • S63 Uniform Securities Agent State Law Examination
    1993-01-25
Other Names
  • Kathy Gonzales

View on SEC IAPD

Other Firms

GREENHAVEN ASSOCIATES INC
UBS FINANCIAL SERVICES INC.
NOW ASSET MANAGEMENT LLC
OTR GLOBAL LLC
JANNEY MONTGOMERY SCOTT LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
GREYWOLF CAPITAL MANAGEMENT LP
OLSTEIN CAPITAL MANAGEMENT, L.P.

Other Investors

JOSHUA BERNARD SANDBULTE
ERIC ALAN BICKLER
RYAN VINCENT HETZER
SIOBHAN BRADY
Anthony Joseph DiPerri
Michael Patrick Zazuri
DYLAN William WYNNE
ROB ANTONY SABEL

Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

More in Purchase, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor