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Susan Yau

Wells Fargo Securities, LLC

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About Susan Yau

Susan Yau is a financial professional with over a decade of experience in the financial services industry. Currently registered with Wells Fargo Securities, LLC, Susan has a strong background in securities and investment advisory services. Susan holds Series 7, Series 63, and SIE licenses and has worked for prominent firms such as Deutsche Bank Securities Inc., Barclays Capital Inc., and Morgan Stanley & Co. LLC. Susan is committed to providing personalized financial guidance and solutions to her clients.

Firm Information

Susan Yau 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 Yau’s Registration & Firm History

NY

04/04/2022 - Present

Wells Fargo Securities, LLC (New York NY)

NJ

02/05/2018 - 11/07/2019

E*TRADE SECURITIES LLC (Jersey City NJ)

NY

09/12/2015 - 10/10/2017

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

03/01/2013 - 04/04/2014

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

10/04/2006 - 05/11/2012

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

05/29/2006 - 07/24/2006

MORGAN STANLEY DW INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/15/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/26/2006

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 Yau.
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