Cathleen Susan Brock

CRD 2201765 · Wells Fargo Advisors · Fort Walton Beach, FL

IA RegisteredBroker

Also appears in the source record as: Cathleen Susan Wayner; Cathy Wayner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (31): Alabama · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · New Hampshire · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · West Virginia · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (9)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Fort Walton Beach, FL · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Fort Walton Beach, FL · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Destin, FL · IA capacity

Oct 25, 2010 → Feb 19, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Destin, FL · BC capacity

Oct 22, 2010 → Feb 19, 2013
Synovus Securities, Inc.
Mary Esther, FL · IA capacity

Jan 11, 1999 → Oct 29, 2010
Synovus Securities, Inc.
Mary Esther, FL · BC capacity

Jan 11, 1999 → Oct 29, 2010
Compass Brokerage, Inc.
Birmingham, AL · BC capacity

Jun 2, 1998 → Jan 6, 1999
Bancorp Investment Group, Ltd.
Honolulu, HI · BC capacity

Sep 6, 1995 → Jul 8, 1996
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Feb 10, 1992 → Sep 11, 1995

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2201765 ↗ FINRA BrokerCheck record for CRD 2201765 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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