Katie Wei: $300K Complaint Against Ameriprise Advisor

Redwood City, California financial advisor Katie Wei (CRD# 6242083) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.

Ms. Wei’s BrokerCheck report discloses two investor complaints. The most recent, filed in February 2025, alleges that as a representative of Cetera Investment Services, she recommended unsuitable real estate investments. The pending complaint alleges damages of $300,000.

An earlier investor complaint, filed in 2024, alleged that as a Cetera representative, she made an unauthorized purchase of a structured product. The complaint alleged damages of $80,000 and was denied by the firm.

A third disclosure on her BrokerCheck report concerns her resignation from Wells Fargo. Filed in 2014, it states that she voluntarily resigned while under review for activity unrelated to firm business, specifically that she “created debit card PIN numbers without the customers being present.”

Ameriprise Financial Services’ website includes a page for Ms. Wei’s practice, in which she describes her commitment to her clients, including one-to-one financial advice and personalized recommendations. “I provide investment, asset allocation and portfolio recommendations based on your individual goals and personal risk tolerance,” she explains. “We document your goals, meet regularly to review and analyze your progress, update your approach as life changes and help you track your progress along the way.”

According to the Financial Industry Regulatory Authority, Katie Wei holds 10 years of securities industry experience. Based in Redwood City, California, she has been registered as a broker and an investment advisor with Ameriprise Financial Services since February 2025. Her past registrations include Cetera Investment Services (Arcadia, California; 2015-2024) and Wells Fargo Advisors (Diamond Bar, California; 2013-2014). Her credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7;  the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in California, Delaware, Florida, Nevada, New York, and Texas. (Information current as of April 13, 2025.)

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