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Detailed Report
KATIE MARIE ROZEN
KATIE MARIE KRULL, KATIE ROZEN
CRD#: 5538006
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2025 E BELTLINE SE STE 501
GRAND RAPIDS, MI 49546
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2013 (5 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 10/23/2019
B
New Jersey 4/27/2018
B
California 9/8/2016
B
New Mexico 4/27/2018
B
Colorado 4/27/2018
B
North Carolina 8/22/2016
B
Florida 8/18/2016
B
South Carolina 4/2/2025
B
Georgia 4/27/2018
B
Tennessee 4/27/2018
B
Idaho 1/2/2019
B
Texas 4/27/2018
B
Illinois 8/18/2016
IA
Texas 4/27/2018
B
Indiana 4/27/2018
B
Virginia 4/27/2018
B
Massachusetts 4/27/2018
B
West Virginia 3/17/2025
B
Michigan 7/12/2016
B
Wisconsin 4/27/2018
IA
Michigan 7/14/2016

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)
2025 E BELTLINE SE STE 501, GRAND RAPIDS, MI 49546
GRAND RAPIDS, MI
Registered with this firm since 7/14/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2025 E BELTLINE SE STE 501, GRAND RAPIDS, MI 49546
GRAND RAPIDS, MI
Registered with this firm since 7/12/2016
Previous Registration(s)
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IA
 10/06/2015 - 07/25/2016 ADVICE AND PLANNING SERVICES (CRD#:20472) GRAND RAPIDS, MI
B
 10/05/2015 - 07/25/2016 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) GRAND RAPIDS, MI
IA
 10/06/2014 - 09/24/2015 LPL FINANCIAL LLC (CRD#:6413) GRAND RAPIDS, MI
B
 10/02/2014 - 09/24/2015 LPL FINANCIAL LLC (CRD#:6413) GRAND RAPIDS, MI
IA
 05/23/2014 - 10/02/2014 PNC INVESTMENTS (CRD#:129052) ALLENDALE, MI
B
 05/28/2014 - 10/02/2014 PNC INVESTMENTS (CRD#:129052) ALLENDALE, MI
IA
 08/13/2008 - 09/19/2013 EDWARD JONES (CRD#:250) LINDEN, MI
B
 07/21/2008 - 09/19/2013 EDWARD JONES (CRD#:250) LINDEN, MI
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.