• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KATHLEEN THERESA WEBB
KATHLEEN HAFLIGER, KATHY WEBB
CRD#: 1307035
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S WINCHESTER BLVD STE 601
SAN JOSE, CA 95128
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)
License(s)

State Registrations

B
Arizona 1/1/2008

B
Nevada 1/1/2008

B
California 1/1/2008

B
New Jersey 1/1/2008

IA
California 1/1/2008

B
New York 1/1/2008

B
Colorado 1/1/2008

B
North Carolina 1/1/2008

B
Connecticut 1/1/2008

B
Oklahoma 1/1/2008

B
District of Columbia 1/1/2008

B
Pennsylvania 1/1/2008

B
Florida 1/1/2008

B
South Dakota 1/1/2008

B
Idaho 1/1/2008

B
Texas 3/6/2013

B
Illinois 8/26/2019

IA
Texas 3/19/2013

B
Kansas 8/18/2022

B
Utah 1/1/2008

B
Massachusetts 1/1/2008

B
Virginia 1/1/2008

B
Michigan 1/1/2008

B
Washington 1/1/2008

B
Minnesota 1/1/2008

B
Wisconsin 1/1/2008

B
Montana 2/25/2025

B
Wyoming 7/16/2019

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)
550 S WINCHESTER BLVD STE 601, SAN JOSE, CA 95128
Registered with this firm since 1/1/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S WINCHESTER BLVD STE 601, SAN JOSE, CA 95128
Registered with this firm since 1/1/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/11/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN JOSE, CA
IA
07/08/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN JOSE, CA
For additional information about investment advisers or broker-dealers, please visit
B
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.