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CATHLEEN SUSAN BROCK
CATHLEEN SUSAN WAYNER, CATHY WAYNER
CRD#: 2201765
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 91 RACETRACK RD NW
FORT WALTON BEACH, FL 32547
Registration History
19952000200520102015202020252 FIRMS1999 - 2010 (11 years)2 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - Present (12 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)1998 - 1999 (<1 year)BBANCORP INVESTMENT GROUP, LTD. (CRD# 29280)1995 - 1996 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1995 (3 years)
License(s)

State Registrations

B
Alabama 1/6/2017

B
Michigan 3/11/2013

B
Arizona 11/23/2022

B
Minnesota 7/10/2024

B
Arkansas 6/4/2019

B
Mississippi 1/6/2017

B
California 4/30/2021

B
Missouri 4/30/2021

B
Colorado 2/26/2020

B
Nevada 1/19/2024

B
District of Columbia 12/7/2022

B
New Jersey 11/18/2024

B
Florida 2/15/2013

B
New York 11/18/2024

IA
Florida 2/19/2013

B
North Carolina 4/30/2021

B
Georgia 7/11/2014

B
Ohio 7/28/2019

B
Hawaii 1/11/2022

B
Pennsylvania 7/29/2022

B
Idaho 3/30/2020

B
South Carolina 4/30/2021

B
Illinois 12/12/2014

B
Tennessee 1/16/2015

B
Indiana 1/5/2017

B
Texas 4/30/2021

B
Iowa 5/3/2021

IA
Texas 4/30/2021

B
Kentucky 1/6/2017

B
Utah 1/12/2023

B
Louisiana 1/6/2017

B
Virginia 4/30/2021

B
Maryland 4/30/2021

B
Wyoming 11/5/2021

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
91 RACETRACK RD NW, FORT WALTON BEACH, FL 32547
9435 US HWY 98 W, DESTIN, FL 32550
Registered with this firm since 2/19/2013

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
91 RACETRACK RD NW, FORT WALTON BEACH, FL 32547
9435 US HWY 98 W, DESTIN, FL 32550
Registered with this firm since 2/15/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/25/2010 - 02/19/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DESTIN, FL
B
10/22/2010 - 02/19/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DESTIN, FL
IA
01/11/1999 - 10/29/2010 SYNOVUS SECURITIES, INC. (CRD#:14023) MARY ESTHER, FL
B
01/11/1999 - 10/29/2010 SYNOVUS SECURITIES, INC. (CRD#:14023) MARY ESTHER, FL
B
06/02/1998 - 01/06/1999 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
09/06/1995 - 07/08/1996 BANCORP INVESTMENT GROUP, LTD. (CRD#:29280) HONOLULU, HI
B
02/10/1992 - 09/11/1995 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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Broker
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Disclosures
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