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Kathleen Jo Dana Miglino

Wells Fargo Clearing Services, LLC

Santa Monica, CA

Pasadena, 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
CA RA APPROVED 2021-11-01
  • CA RA
    APPROVED
    Since 2021-11-01

Branch Locations

170 Pier Ave, Santa Monica, CA 90405 • United States

350 W Colorado Blvd Ste 390 [Lc-Rbo], Pasadena, CA 91105 • 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 Santa Monica CA 09/2014 11/2016
Wells Fargo Bank, Na Santa Monica CA 12/2003 Present
Wells Fargo Clearing Services, Llc Santa Monica CA 11/2016 Present
  • 09/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Santa Monica, CA
  • 12/2003 → Present
    Wells Fargo Bank, Na
    Santa Monica, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Santa Monica, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-30
S63 Uniform Securities Agent State Law Examination 2014-11-12
  • S66 Uniform Combined State Law Examination
    2021-10-30
  • S63 Uniform Securities Agent State Law Examination
    2014-11-12
Other Names
  • Kathi Dana Miglino
  • Kathi Dana
  • Kathi Jo Dana

View on SEC IAPD

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Other Offices

VICTUS CAPITAL WEALTH · SANTA MONICA, CA
SERENUS WEALTH ADVISORS, LLC · SANTA MONICA, CA
WILSHIRE · SANTA MONICA, CA
DIMENSIONAL FUND ADVISORS LP · SANTA MONICA, CA
COMPOSITION WEALTH, LLC · SANTA MONICA, CA
OCEAN AVENUE WEALTH MANAGEMENT · SANTA MONICA, CA
A.G.P. / ALLIANCE GLOBAL PARTNERS · SANTA MONICA, CA
MANTIS CAPITAL MANAGEMENT, LLC · SANTA MONICA, CA

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