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Kimberly Ta

Board of Managers/Control Principal at Wells Fargo Advisors Financial Network

Broker registration; no current adviser registration

Kimberly Ta is Board of Managers/Control Principal of Wells Fargo Advisors Financial Network, LLC, a St. Louis investment adviser managing $252B. Kimberly Ta has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24 and Series 99TO.

3
Licensing exams

From the IAPD record · data retrieved 18 October 2026SEC record

Career

Kimberly Ta has been Board of Managers/Control Principal of Wells Fargo Advisors Financial Network since August 2023. Kimberly Ta is a control person of the firm and directly owns under 5% of it.

Wells Fargo Advisors Financial Network, LLC is a St. Louis, MO firm with $252B under management, 466,575 clients and 2,366 advisers across 1,339 offices, as of its September 2026 filing.

No adviser firm registrations are on Kimberly Ta’s record.

Credentials and registrations

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
Series 2417 August 2020
Name
General Securities Principal Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 77 November 2003
Name
General Securities Representative Examination

Individual record

Full name
Kimberly Crowder Ta
CRD
4717506

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Kimberly Ta work?

Kimberly Ta has been Board of Managers/Control Principal of Wells Fargo Advisors Financial Network, LLC since August 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 2 September 2026

Does Kimberly Ta have a current investment-adviser registration?

Kimberly Ta has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Kimberly Ta passed?

Kimberly Ta has passed 3 licensing exams: the Series 7, Series 24 and Series 99TO. The earliest, the Series 7, was passed in November 2003. FINRA credited Kimberly Ta with the SIE, which began in October 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Wells Fargo Advisors Financial Network

Sources

  1. IAPD individual record, CRD 4717506. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Wells Fargo Advisors Financial Network, LLC, filed 2 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

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