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Kathleen Ann Osterberg

Wells Fargo Clearing Services, LLC

Omaha, NE

Omaha, NE

CRD 7684266

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
NE RA APPROVED 2023-05-05
  • NE RA
    APPROVED
    Since 2023-05-05

Branch Locations

10010 Regency Cir, Omaha, NE 68114 • United States

13625 California St Ste 200 [Gl-Rbo], Omaha, NE 68154 • 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 Clearing Services, Llc Bellevue NE 01/2023 Present
Wells Fargo Bank, Na Bellevue NE 02/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-05
S63 Uniform Securities Agent State Law Examination 2023-04-13
  • S65 Uniform Investment Adviser Law Examination
    2023-05-05
  • S63 Uniform Securities Agent State Law Examination
    2023-04-13
Other Names
  • Kathleen Ann Malloy
  • Kit Ann Malloy
  • Kit Ann Osterberg
  • Kitty Ann Malloy
  • Kitkat Ann Malloy
  • Kitty Ann Osterberg
  • Kathleen A Osterberg

View on SEC IAPD

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