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KATHERINE REDMAN
KATHY REDMAN, KATHERINE REDMAN-WEINSTEIN
CRD#: 1046310
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 NORTHPORT, NY
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2012 (12 years)2 FIRMS2012 - Present (12 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 2000 (11 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1987 - 1988 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1983 - 1987 (4 years)BSHEARSON/AMERICAN EXPRESS INC. (CRD# 7506)1982 - 1983 (1 year)
Disclosure(s)
View By:
12/3/2009
Customer Dispute
Denied
10/1/2002
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alaska 4/29/2016

B
Nevada 5/10/2012

B
Arizona 5/19/2020

B
New Jersey 5/10/2012

B
California 5/10/2012

B
New York 5/10/2012

B
Colorado 11/18/2019

IA
New York 7/27/2021

B
Connecticut 9/8/2020

B
North Carolina 5/10/2012

B
Delaware 1/18/2023

B
Pennsylvania 11/18/2019

B
District of Columbia 4/30/2015

B
South Carolina 10/12/2015

B
Florida 5/10/2012

B
Texas 5/10/2012

B
Georgia 6/4/2021

IA
Texas 5/10/2012

B
Idaho 1/6/2022

B
Utah 5/10/2012

B
Indiana 5/7/2020

B
Vermont 11/7/2023

B
Maryland 5/10/2012

B
Virginia 1/17/2017

B
Massachusetts 5/10/2012

B
Washington 1/22/2022

B
Nebraska 3/30/2021

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
NORTHPORT, NY
68 S SERVICE RD STE 200, MELVILLE, NY 11747
Registered with this firm since 5/10/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
NORTHPORT, NY
68 S SERVICE RD STE 200, MELVILLE, NY 11747
Registered with this firm since 5/10/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/29/2000 - 05/11/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SMITHTOWN, NY
B
02/29/2000 - 05/11/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SMITHTOWN, NY
B
10/17/1988 - 02/28/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
11/04/1987 - 10/27/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
06/27/1983 - 11/04/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
B
04/23/1982 - 07/05/1983 SHEARSON/AMERICAN EXPRESS INC. (CRD#:7506)
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Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.