Katherine Broglin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katherine Broglin, who also goes by Katherine A Broglin, Katherine Alice Broglin, Katy A Broglin, Katy A Heid, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1994. Katherine had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - March 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 26, 2014 - February 22, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
June 5, 2012 - March 13, 2013
EQUITABLE ADVISORS, LLC
May 6, 2011 - January 12, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
January 3, 2008 - January 18, 2011
EQUITABLE ADVISORS, LLC
January 29, 2004 - November 21, 2007
HORACE MANN INVESTORS, INC.
October 1, 2002 - December 31, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
December 22, 1999 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
January 4, 1999 - November 9, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 16, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 26, 1998 - November 16, 1998
BANC ONE SECURITIES CORPORATION
June 3, 1996 - March 26, 1998
ROBERT THOMAS SECURITIES, INC
February 27, 1995 - May 23, 1996
NATCITY INSURANCE SERVICES, INC.
February 23, 1994 - March 15, 1995
LPL FINANCIAL LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
