Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susanna? Claim Your ProfileSusanna Dee Pollock is a financial advisor with Wells Fargo Clearing Services, LLC. Susanna has been in the financial industry since 2005 and has experience with a variety of firms including UBS, Morgan Stanley, and Raymond James & Associates, Inc. Susanna specializes in providing portfolio management services for individuals and businesses, and investment consulting services to institutional clients. Susanna is licensed to provide advisory services in Texas and several other states. She is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
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.
1
2
TX
01/04/2023 - Present
Wells Fargo Clearing Services, LLC (GEORGETOWN TX)
TX
01/06/2021 - 12/22/2022
RAYMOND JAMES & ASSOCIATES, INC. (SAN ANTONIO TX)
TX
11/15/2017 - 01/05/2021
WELLS FARGO CLEARING SERVICES, LLC (SAN ANTONIO TX)
TX
01/13/2015 - 09/25/2017
MORGAN STANLEY (DALLAS TX)
TX
11/10/2010 - 01/08/2015
UBS FINANCIAL SERVICES INC. (SAN ANTONIO TX)
TX
01/30/2007 - 11/09/2007
FIXED INCOME SECURITIES, LP (BOERNE TX)
TX
08/26/2005 - 12/11/2006
ALLIANCEBERNSTEIN INVESTMENTS, INC. (SAN ANTONIO TX)
BOTH
Issued 05/20/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/18/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/07/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/27/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/25/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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