Kathleen Ann Le Mons

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

Authority	Category	Status	Date
NC	RA	APPROVED	2025-02-24
TX	RA	APPROVED	2018-04-02
VA	RA	APPROVED	1999-10-01

NC RA
APPROVED

Since 2025-02-24
TX RA
APPROVED

Since 2018-04-02
VA RA
APPROVED

Since 1999-10-01

Branch Locations

Smithfield, VA • United States

208 Golden Oak Ct Stes 250 & 300 Reflections Iii, Virginia Beach, VA 23452 • United States

Point Harbor, NC • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Newport News	VA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Newport News	VA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Newport News, VA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Newport News, VA

Other Businesses

ARBITRATOR FOR THE NASD. CHRISTOPHER NEWPORT UNIVERSITY, LUTER SCHOOL OF BUSINESS; NOT INVESTMENT RELATED; NEWPORT NEWS, VA; ADJUNCT PROFESSOR; START DATE 01/01/2018; 20 HOURS PER MONTH / 0 DURING TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-05-16
S63	Uniform Securities Agent State Law Examination	1986-01-20

S65 Uniform Investment Adviser Law Examination

1997-05-16
S63 Uniform Securities Agent State Law Examination

1986-01-20

Other Names

Kathleen A Lemons
Kate Lemons
Kathleen Faircloth
Kate Faircloth
Kathleen Ann Lemons

View on SEC IAPD