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Detailed Report
KATHARINE HOWE HARDARDT
KATHARINE CARTWRIGHT, KATHARINE HARDARAT, KATE HOWE
CRD#: 2836066
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1650 TYSONS BLVD
STE 500
MCLEAN, VA 22102
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)BALLFIRST BROKERAGE CORPORATION (CRD# 17531)1996 - 2000 (4 years)
License(s)

State Registrations

B
California 5/13/2011
B
North Carolina 5/16/2011
B
Colorado 5/13/2011
B
Ohio 1/23/2018
B
Delaware 5/13/2011
B
Oregon 5/13/2011
B
District of Columbia 5/13/2011
B
Pennsylvania 5/13/2011
B
Florida 5/13/2011
B
Rhode Island 8/25/2016
B
Georgia 5/13/2011
B
South Carolina 5/13/2011
B
Illinois 11/19/2015
B
South Dakota 3/31/2022
B
Iowa 2/23/2024
B
Tennessee 2/28/2022
B
Kentucky 2/28/2022
B
Texas 5/13/2011
B
Maine 1/17/2023
IA
Texas 5/23/2011
B
Maryland 5/13/2011
B
Virginia 10/1/2007
B
Michigan 11/19/2015
IA
Virginia 10/1/2007
B
Mississippi 9/22/2014
B
Washington 5/13/2011
B
New Jersey 5/13/2011
B
West Virginia 5/13/2011
B
New York 5/13/2011
B
Wisconsin 5/24/2022

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)
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
GREAT FALLS, VA
Registered with this firm since 10/1/2007
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
GREAT FALLS, VA
Registered with this firm since 6/20/2007
Previous Registration(s)
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B
 12/19/1996 - 12/31/2000 ALLFIRST BROKERAGE CORPORATION (CRD#:17531) BALTIMORE, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.