Karen A Sloan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

SIESeries 7Series 24Series 65Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

24

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (19)

From the source registration record · current first

• Wells Fargo Clearing Services, LLCCurrent

  St. Louis, MO · BC capacity
  start not retrieved → present
• Wells Fargo Clearing Services, LLCCurrent

  St. Louis, MO · IA capacity
  start not retrieved → present
• Wells Fargo AdvisorsCurrent

  St. Louis, MO · IA capacity
  start not retrieved → present
• Stifel, Nicolaus & Company, Incorporated

  St Louis, MO · IA capacity
  Jul 22, 2014 → Nov 17, 2017
• Stifel, Nicolaus & Company, Incorporated

  St. Louis, MO · BC capacity
  Jul 22, 2014 → Nov 17, 2017
• First Allied Advisory Services, Inc.

  Chesterfield, MO · IA capacity
  Jan 1, 2007 → Jul 24, 2014
• First Allied Securities, Inc.

  Chesterfield, MO · BC capacity
  Jun 2, 2008 → Jul 22, 2014
• Ffp Securities, Inc.

  Chesterfield, MO · BC capacity
  Mar 14, 2006 → Jun 2, 2008
• Ffp Advisory Services Inc

  Chesterfield, MO · IA capacity
  Mar 14, 2006 → Jan 1, 2007
• Metlife Securities Inc.

  St. Louis, MO · IA capacity
  Dec 6, 2005 → Mar 13, 2006
• Metropolitan Life Insurance Company

  St. Louis, MO · BC capacity
  Dec 6, 2005 → Mar 13, 2006
• Metlife Securities Inc.

  St. Louis, MO · BC capacity
  Dec 6, 2005 → Mar 13, 2006
• Citistreet Financial Services LLC

  Milwaukee, WI · IA capacity
  Jun 17, 2005 → Dec 31, 2005
• Citistreet Equities LLC

  Somerset, NJ · BC capacity
  May 12, 2005 → Dec 31, 2005
• Mml Investors Services, Inc.

  Springfield, MA · BC capacity
  May 18, 2004 → Sep 3, 2004
• Oneamerica Securities, Inc.

  Indianapolis, IN · BC capacity
  Jun 10, 2003 → May 14, 2004
• Park Avenue Securities LLC

  New York, NY · BC capacity
  Jul 23, 2001 → Jul 18, 2003
• The Lincoln National Life Insurance Company

  Fort Wayne, IN · BC capacity
  Sep 21, 1999 → Jan 31, 2000
• Lincoln Financial Advisors Corporation

  Fort Wayne, IN · BC capacity
  Sep 21, 1999 → Jan 31, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.