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Susan Sox Montanez

Wells Fargo Clearing Services, LLC

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About Susan Sox Montanez

Susan Sox Montanez is a financial advisor with over 25 years of experience. Susan has been associated with Wells Fargo Clearing Services, LLC since October 2000. Susan has been registered with the state of Florida since October 2000. Prior to joining Wells Fargo, Susan was associated with First Union Brokerage Services, Inc. for almost 4 years. Susan holds Series 6, Series 63, and SIE licenses. Susan offers a variety of services to her clients including financial planning, portfolio management for businesses, and portfolio management for individuals. Susan is a Registered Representative (RA) and Investment Advisor Representative (IA) in the state of Florida.

Firm Information

Susan Montanez 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 Montanez’s Registration & Firm History

FL

10/01/2000 - Present

Wells Fargo Clearing Services, LLC (MAITLAND FL)

NC

03/25/1997 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

NC

05/16/1995 - 09/06/1996

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 05/17/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan Sox Montanez.
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