Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Romanczuk is an active investment advisor representative with Wells Fargo Clearing Services, LLC. Kathryn has been in the financial services industry since 1987. Kathryn is licensed in multiple states and has a diverse background in financial services. Kathryn has experience with various investment products and services, including stocks, bonds, mutual funds, and options. Kathryn has also worked for Wells Fargo Investments, LLC and Wells Fargo Securities Inc. in the past.
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
CA
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BERKELEY CA)
CA
01/31/1994 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
04/16/1987 - 06/18/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/23/1986 - 08/06/1986
BARABAN SECURITIES, INC.
IA
Issued 04/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/28/1987
Series 5 - Interest Rate Options Examination
BC
Issued 04/19/1986
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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