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Kathleen Maria Collins Funk

Wells Fargo Clearing Services, LLC

Albany, NY

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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
TX RA APPROVED_RES 2025-08-14
FL RA APPROVED 2021-12-15
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2017-09-13
  • TX RA
    APPROVED_RES
    Since 2025-08-14
  • FL RA
    APPROVED
    Since 2021-12-15
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2017-09-13

Branch Locations

4 Tower Pl Fl 9, Albany, NY 12203 • 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 Albany NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Albany NY 11/2016 Present
Other Businesses

RENTAL PROPERTY, INV RELATED, BALLSTON SPA, NY, 50% OWNER, START: 1/1/2004, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-07
S63 Uniform Securities Agent State Law Examination 1987-03-24
  • S66 Uniform Combined State Law Examination
    2017-09-07
  • S63 Uniform Securities Agent State Law Examination
    1987-03-24
Other Names
  • Kathleen Maria Collins-Funk
  • Kathleen Maria Collinsfunk
  • Kathleen Maria Collinsfunk
  • Kathleen Maria Funk

View on SEC IAPD

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GEORGE NICHOLAS BROWN
JOHN COLE BUFF

Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
CERITY PARTNERS LLC · ALBANY, NY

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