Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Ellena is a financial advisor who has been working in the industry since 1980. Currently, Susan works at Wells Fargo Advisors Financial Network, LLC. Previously, Susan worked at Wells Fargo Clearing Services, LLC, Morgan Stanley, Citigroup Global Markets Inc., Prudential Securities Incorporated, Smith Barney, Harris Upham & Co., Incorporated, Rooney, Pace Inc., and PaineWebber Incorporated. Susan Ellena holds licenses in Arizona, California, Colorado, Florida, Hawaii, Minnesota, Missouri, Nevada, Oregon, South Carolina, Texas. Susan is registered as an Investment Advisor Representative in California and Texas. Susan holds the Series 7, Series 63, and Series 65 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
11/27/2023 - Present
Wells Fargo Advisors Financial Network, LLC (IRVINE CA)
CA
10/15/2012 - 11/07/2022
WELLS FARGO CLEARING SERVICES, LLC (IRVINE CA)
CA
06/01/2009 - 10/29/2012
MORGAN STANLEY (IRVINE CA)
CA
08/12/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)
NY
01/20/1986 - 08/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/01/1984 - 01/23/1986
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
03/05/1984 - 11/07/1984
ROONEY, PACE INC.
NA
07/24/1980 - 08/29/1984
PAINEWEBBER INCORPORATED
NA
02/19/1983 - 03/02/1984
J. DAVID SECURITIES, INC.
IA
Issued 11/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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