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Kathleen Sue Racette

Wells Fargo Clearing Services, LLC

Rancho Santa Fe, CA

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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 2011-06-13
CA RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2011-06-13
  • CA RA
    APPROVED
    Since 2008-01-01

Branch Locations

16975 Avenida De Acacaias Ste 9, Rancho Santa Fe, CA 92067 • 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 San Diego CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 1997-07-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    San Diego, CA
    San Diego, CA
    St. Louis, MO
Other Businesses

J&T YAKIMA, LLC, INVT RELATED, UNION GAP, WA, 16.67% OWNERSHIP, START DATE 5/30/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-28
S63 Uniform Securities Agent State Law Examination 1995-03-23
  • S65 Uniform Investment Adviser Law Examination
    2018-08-28
  • S63 Uniform Securities Agent State Law Examination
    1995-03-23
Other Names
  • Kathleen Sue Gaumer
  • Kate Gaumer

View on SEC IAPD

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Other Offices

MORGAN STANLEY · RANCHO SANTA FE, CA
MORGAN STANLEY · RANCHO SANTE FE, CA
ESSENTIAL PARTNERS LLC · RANCHO SANTA FE,, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Rancho Santa Fe, CA
DARK HORSE ADVISORS LLC · Rancho Santa Fe, CA
LPL FINANCIAL LLC · RANCHO SANTA FE, CA
EAGLE STRATEGIES LLC · Rancho Santa Fe, CA
U.S. BANCORP ADVISORS, LLC · Rancho Santa Fe, CA

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