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Detailed Report
KATHERINE A GREGG
KATHERINE LENA ATKINS ^^, KATIE LENA ATKINS ^^, KATHERINE ATKINS GREGG, KATIE ATKINS GREGG ^^, KATIE GREGG
CRD#: 5749794
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2501 20TH PL S STE 350
BIRMINGHAM, AL 35223
Registration History
201220142016201820202022202420262 FIRMS2011 - 2018 (7 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 9/21/2018
B
Mississippi 4/16/2021
IA
Alabama 9/21/2018
B
North Carolina 9/21/2018
B
Colorado 6/27/2024
B
Pennsylvania 9/21/2018
B
Florida 9/21/2018
B
Tennessee 9/21/2018
B
Georgia 9/21/2018
B
Texas 9/21/2018
B
Illinois 9/21/2018
IA
Texas 9/21/2018
B
Kentucky 9/21/2018
B
Virginia 9/21/2018
B
Massachusetts 8/18/2021
B
Washington 5/10/2019

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)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Homewood, AL
Registered with this firm since 9/21/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Homewood, AL
Registered with this firm since 9/21/2018
Previous Registration(s)
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IA
 07/27/2011 - 09/24/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BIRMINGHAM, AL
B
 01/19/2011 - 09/24/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BIRMINGHAM, AL
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.