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Susan Tapp Ward

Wells Fargo Securities, LLC

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About Susan Tapp Ward

Susan Tapp Ward is a financial advisor with Wells Fargo Securities, LLC. Susan has been in the financial services industry since July 8, 1992, and has a strong track record of providing personalized financial advice to clients. Susan is a registered representative in 53 states and is licensed to sell securities and investment products. She holds the Series 7, Series 63, Series 99TO, and SIE licenses. Susan is committed to helping clients reach their financial goals through a variety of investment strategies.

Firm Information

Susan Ward is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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Susan Ward’s Registration & Firm History

TX

11/06/2009 - Present

Wells Fargo Securities, LLC (DALLAS TX)

TX

12/08/1999 - 11/06/2009

WELLS FARGO BROKERAGE SERVICES, L.L.C. (DALLAS TX)

NY

07/09/1994 - 12/01/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

06/10/1992 - 06/15/1994

CS FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/08/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Susan Tapp Ward.
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