Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katie? Claim Your ProfileKatie Christine Peters is a financial professional with over 16 years of experience in the financial services industry. Katie is currently registered with Wells Fargo Securities, LLC and has held previous roles with Wells Fargo Clearing Services, LLC, SagePoint Financial, Inc., SunAmerica Securities, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Katie has a broad range of experience and holds the Series 7, 6, 52, 22, 82, 99, SIE and Series 66 licenses.
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.
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.
1
2
NC
08/08/2019 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
MO
11/08/2011 - 05/03/2018
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MN
10/04/2007 - 10/15/2010
SAGEPOINT FINANCIAL, INC. (MINNEAPOLIS MN)
AZ
12/21/2002 - 09/30/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MN
07/25/2001 - 11/12/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/25/2001 - 11/12/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 08/06/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/03/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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