Carolina Mata

CRD 4469218 · Wells Fargo Advisors · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Carolina Bernal; Carolina Bernal Cordoba; Carolina B Mata; Carolina Mata

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (2): North Carolina · South Carolina
Years in the industry (source record): 18
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 (13)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.
Charlotte, NC · IA capacity

Aug 14, 2023 → Aug 29, 2023
Td Ameritrade Investment Management, LLC
Charlotte, NC · IA capacity

May 11, 2022 → Aug 29, 2023
Td Ameritrade, Inc.
Charlotte, NC · BC capacity

May 11, 2022 → Aug 29, 2023
Td Ameritrade, Inc.
Charlotte, NC · IA capacity

May 11, 2022 → Oct 14, 2022
Nylife Securities LLC
South Plainfield, NJ · BC capacity

Apr 5, 2012 → Feb 14, 2014
Hsbc Securities (USA) Inc.
Florham Park, NJ · BC capacity

Mar 8, 2011 → Mar 26, 2012
Pnc Investments
North Brunswick, NJ · BC capacity

May 17, 2006 → Sep 7, 2007
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Oct 20, 2004 → Sep 28, 2005
Quick & Reilly, Inc.
New York, NY · BC capacity

May 28, 2003 → Oct 20, 2004
Pfs Investments Inc.
Duluth, GA · BC capacity

Aug 16, 2002 → Dec 12, 2002

Source & corrections

Where this page comes from

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