Best Investors Account Sign in

Katherine Marie Strain

Wells Fargo Advisors Financial Network, LLC

Highland Park, IL

Claim This Profile
Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-05-01
IL RA APPROVED 2026-04-28
  • TX RA
    APPROVED_RES
    Since 2026-05-01
  • IL RA
    APPROVED
    Since 2026-04-28

Branch Locations

1849 Green Bay Rd Ste 200, Highland Park, IL 60035 • 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
Raymond James & Associates, Inc. Winnetka IL 08/2013 03/2019
Raymond James & Associates, Inc. Winnetka IL 03/2019 11/2024
Raymond James & Associates, Inc. Chicago IL 10/2021 11/2024
Ubs Financial Services, Inc. Northbrook IL 11/2024 04/2026
Wells Fargo Advisors Financial Network, Llc Highland Park IL 04/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-03
S63 Uniform Securities Agent State Law Examination 2011-12-03
  • S66 Uniform Combined State Law Examination
    2020-10-03
  • S63 Uniform Securities Agent State Law Examination
    2011-12-03
Other Names
  • Katherine M Barker
  • Katherine Marie Barker
  • Katherine Marie Strain
  • Katherine Strain

View on SEC IAPD

Other Firms

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CITIGROUP GLOBAL MARKETS INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
EDWARD JONES
INSIGHT SECURITIES, INC.

Other Investors

NOEL ADAM COOPER
ZACHARY HAROLD WALTERS
LOUIS BURTON KLIEGER
BLAKE S SCIERA
HOWARD ROBERT KLIEGER
WYATT REED DOWLING
BRADLEY CORDES
KAREN M FINERMAN

Other Offices

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC · HIGHLAND PARK, IL
STATE FARM INVESTMENT MANAGEMENT CORP. · Highland Park, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · HIGHLAND PARK, IL
CITIGROUP GLOBAL MARKETS INC. · HIGHLAND PARK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL

More in Highland Park, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor