Kathleen Vivian Coleman

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-07-22
NJ	RA	APPROVED	2009-04-08

TX RA
APPROVED_RES

Since 2020-07-22
NJ RA
APPROVED

Since 2009-04-08

Branch Locations

302 Carnegie Center Stes 102 & 104, Princeton, NJ 08540 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Lawrenceville	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Lawrenceville	NJ	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Lawrenceville, NJ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Lawrenceville, NJ

Previous Registrations

2002-05-08 → 2009-04-15

Citigroup Global Markets Inc.

Lawrenceville, NJ

Lawrenceville, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-02-18
S63	Uniform Securities Agent State Law Examination	1981-02-10

S65 Uniform Investment Adviser Law Examination

1993-02-18
S63 Uniform Securities Agent State Law Examination

1981-02-10

Other Names

Kathleen Vivian Parrish

View on SEC IAPD