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KATHERINE LOUISE BERNARDI
KATHY GONZALES
CRD#: 2304520
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1 PADANARAM RD
DANBURY, CT 06811
Registration History
19952000200520102015202020252 FIRMS2000 - 2000 (<1 year)2 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2004 (4 years)BFIS SECURITIES, INC. (CRD# 30533)1997 - 2000 (3 years)BMDS SECURITIES INCORPORATED (CRD# 29367)1994 - 1996 (2 years)BSHAWMUT BROKERAGE, INC. (CRD# 17081)1992 - 1994 (1 year)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (1 year)
Disclosure(s)
View By:
7/21/2003
Customer Dispute
Denied
License(s)

State Registrations

B
California 12/1/2023

B
New Jersey 4/22/2024

B
Colorado 12/5/2024

B
New York 4/20/2012

B
Connecticut 4/20/2012

B
North Carolina 8/22/2014

IA
Connecticut 4/20/2012

B
South Carolina 6/13/2024

B
Florida 4/20/2012

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)
1 PADANARAM RD, DANBURY, CT 06811
1 EAGLE RD, DANBURY, CT 06810
Registered with this firm since 4/20/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1 PADANARAM RD, DANBURY, CT 06811
1 EAGLE RD, DANBURY, CT 06810
Registered with this firm since 4/20/2012

Previous Registration(s)
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10/23/2009 - 04/24/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SOUTHBURY, CT
B
10/23/2009 - 04/24/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SOUTHBURY, CT
IA
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEW MILFORD, CT
B
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEW MILFORD, CT
IA
12/04/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW MILFORD, CT
B
10/09/2000 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
09/25/2000 - 09/29/2000 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
01/26/2000 - 09/29/2000 BANKBOSTON INVESTOR SERVICES, INC. (CRD#:36369) BOSTON, MA
B
01/02/1997 - 09/25/2000 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
B
03/28/1994 - 12/31/1996 MDS SECURITIES INCORPORATED (CRD#:29367) CARMEL, IN
B
12/14/1992 - 03/28/1994 SHAWMUT BROKERAGE, INC. (CRD#:17081)
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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.