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KIMBERLY JOAN ROMAN
KIMBERLY JOAN EMMONS, KIMBERLY EMMONS, KIMBERLY ROMAN
CRD#: 5496021
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 101 FEDERAL PL STE 101
[REGIONAL SUPERVISION]
TARPON SPRINGS, FL 34689
Registration History
2008201020122014201620182020202220242 FIRMS2008 - Present (16 years)
License(s)

State Registrations

B
Arkansas 1/19/2021

B
Georgia 1/4/2021

B
Florida 6/4/2008

B
Massachusetts 1/19/2021

IA
Florida 10/15/2008

B
Utah 1/19/2021

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)
101 FEDERAL PL STE 101 [REGIONAL SUPERVISION], TARPON SPRINGS, FL 34689
PALM HARBOR, FL
Registered with this firm since 10/15/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
101 FEDERAL PL STE 101 [REGIONAL SUPERVISION], TARPON SPRINGS, FL 34689
PALM HARBOR, FL
Registered with this firm since 6/4/2008

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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.