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Susan Brown

Wells Fargo Clearing Services, LLC

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About Susan Brown

Susan Brown is a registered representative with Wells Fargo Clearing Services, LLC. Susan has been in the industry for 34 years and has been registered with Wells Fargo Clearing Services, LLC since 2016. Susan is licensed to provide investment advisory services in North Carolina and Texas. Susan has also been licensed to provide investment advisory services in Arizona, California, Colorado, Delaware, Florida, Georgia, Missouri, Nevada, New Jersey, New York, Ohio, South Carolina, Tennessee, Virginia, and Wisconsin. Susan is also a Registered Principal with Wells Fargo Clearing Services, LLC.

Firm Information

Susan Brown is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Susan Brown’s Registration & Firm History

NC

07/01/2003 - Present

Wells Fargo Clearing Services, LLC (CHARLOTTE NC)

NY

08/21/1992 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

03/07/1990 - 05/30/1991

J.C. BRADFORD & CO. (NEW YORK NY)

NY

05/11/1989 - 08/15/1989

PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)

NA

08/01/1986 - 12/17/1987

E. F. HUTTON & COMPANY INC

NA

04/25/1986 - 06/09/1986

PRUDENTIAL-BACHE SECURITIES INC.

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Licenses & Designations

IA

Issued 12/23/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/23/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/09/1993

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Susan Brown.
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