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Cathleen Susan Brock

Wells Fargo Clearing Services, LLC

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About Cathleen Susan Brock

Cathleen Brock is a financial advisor who has been in the industry since January 6, 1994. Currently, Cathleen is registered with Wells Fargo Clearing Services, LLC. Cathleen has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Synovus Securities, Inc., Compass Brokerage, Inc., Bancorp Investment Group, Ltd., and Dean Witter Reynolds Inc.

Firm Information

Cathleen Brock is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Cathleen Brock’s Registration & Firm History

FL

04/30/2021 - Present

Wells Fargo Clearing Services, LLC (DESTIN FL)

FL

10/22/2010 - 02/19/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DESTIN FL)

FL

01/11/1999 - 10/29/2010

SYNOVUS SECURITIES, INC. (MARY ESTHER FL)

AL

06/02/1998 - 01/06/1999

COMPASS BROKERAGE, INC. (BIRMINGHAM AL)

HI

09/06/1995 - 07/08/1996

BANCORP INVESTMENT GROUP, LTD. (HONOLULU HI)

NY

02/10/1992 - 09/11/1995

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 02/25/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/12/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/01/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Cathleen Susan Brock.
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