Kathleen Malone
Kathleen Malone is a registered investment advisor at Wells Fargo Advisors, based in Charlotte, NC, with 39 years of industry experience. Kathleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
550 S Tryon St 44th & 45th Fls, Charlotte, NC, 28202
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Regulatory History (1)
Customer Dispute
July 2008Other Business Activities
Kathleen is the executor for her father's and mother's estates, both investment-related, dedicating about 10-20% of her time to each. She also serves on the advisory board for the Women's Leadership Alliance, spending minimal time attending meetings and advising on the development of female financial advisors.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Previous Registrations
First Union Brokerage Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations34 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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