Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Marie Floss is an investment advisor representative with Wells Fargo Clearing Services, LLC. Catherine has been in the industry since June 2007. Catherine is registered with FINRA and the state of Nevada. Catherine is also registered as an investment advisor representative in Arizona, California, Florida, New York, and Nevada. Catherine has passed the Series 6, 7, 63, 66 and SIE exams. Catherine has worked at Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, and Wells Fargo Bank, N.A.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (LAS VEGAS NV)
NV
03/19/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LAS VEGAS NV)
NV
06/26/2007 - 03/23/2010
WELLS FARGO ADVISORS, LLC (LAS VEGAS NV)
BOTH
Issued 08/21/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/25/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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