Katherine Roberts, financial advisor High Point NC
90 score

Katherine Roberts

CRD Number: 6149519
Current Firm: Wells Fargo Clearing Services, LLC

Katherine Roberts (CRD# 6149519) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in High Point, NC and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Clearing Services, LLC High Point, NC Jan 2017 - Current 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Mar 2016 - Nov 2016 < 1
Northwestern Mutual Investment Services LLC Winston Salem, NC Apr 2015 - Nov 2016 1
J Ward Winston Salem, NC Feb 2015 - Mar 2016 1
Richard Wagner Winston Salem, NC Feb 2015 - Mar 2016 1
Robert Kluttz Winston Salem, NC Feb 2015 - Mar 2016 1
Robert Dickerson Winston Salem, NC Feb 2015 - Mar 2016 1
Ameriprise Financial Greensboro, NC Oct 2013 - Jan 2015 1
Edward Jones Greensboro, NC Jan 2013 - Sep 2013 < 1
Roberts And Associates Hattiesburg, MS Mar 2012 - Dec 2012 < 1
Clark Hicks Hattiesburg, MS Jun 2011 - Mar 2012 < 1
Saenger Theater Hattiesburg, MS Jun 2010 - Jun 2011 1
Unemployed Hattiesburg, MS Nov 2009 - Jun 2010 < 1
206 Front Street Hattiesburg, MS May 2009 - Nov 2009 < 1
Unemployed Hattiesburg, MS Jan 2003 - May 2009 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2013
Contact Info for Katherine L. Roberts
Phone Number: 314-875-3000
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    409,716
    MILLIONS
  • Total Number of Accounts
    1,359,521
    ACCOUNTS
  • Average Account Value
    $301,368
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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