Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Soberg is an investment advisor representative at Wells Fargo Advisors Financial Network, LLC. She is also a registered representative with Wells Fargo Clearing Services, LLC. Kathleen is a seasoned professional with over two decades of experience in the financial industry. She has a broad range of experience in various areas, including investment consulting, financial planning, and portfolio management. Her expertise includes serving high-net-worth individuals, corporations, and institutions. Kathleen holds several professional designations and has passed a variety of industry exams. She is committed to providing personalized financial guidance and helping her clients achieve their financial goals.
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.
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2
MN
07/25/2024 - Present
Wells Fargo Advisors Financial Network, LLC (MAPLE GROVE MN)
MN
12/13/2000 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)
CA
04/20/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
12/09/1999 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NJ
03/30/1999 - 01/07/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
CA
02/23/1999 - 03/12/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
04/23/1998 - 03/12/1999
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
IA
Issued 01/22/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2006
Series 4 - Registered Options Principal Examination
BC
Issued 11/07/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/23/1998
Series 24 - General Securities Principal Examination
BC
Issued 07/25/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 04/22/1998
Series 7 - General Securities 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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