Kathleen Marie Lariviere

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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 Advisors Financial Network, 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	2015-08-05
RI	RA	APPROVED	2006-02-17

TX RA
APPROVED_RES

Since 2015-08-05
RI RA
APPROVED

Since 2006-02-17

Branch Locations

20 Cabot Blvd Ste 300, Mansfield, MA 02048 • 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 Financial Network Llc	Mansfield	MA	05/2009	Present

05/2009 → Present

Wells Fargo Advisors Financial Network Llc

Mansfield, MA

Previous Registrations

2003-04-14 → 2006-03-13

Ubs Financial Services Inc.

Providence, RI

Other Businesses

R & L FINANCIAL GROUP LLC, INV RELATED, MANSFIELD, MA, 45% OWNERSHIP, START 4/23/2019, 200 HOURS PER MONTH, 8 HOURS DURING TRADING, FINET PRACTICE.; POWER OF ATTORNEY FOR AUNT, INV RELATED, CRANSTON, RI, START: 9/30/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-04-11
S63	Uniform Securities Agent State Law Examination	1987-06-22

S65 Uniform Investment Adviser Law Examination

2003-04-11
S63 Uniform Securities Agent State Law Examination

1987-06-22

Other Names

Kathleen Marie Ariosta

View on SEC IAPD