Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Small is a financial advisor with over 20 years of experience in the financial services industry. Suzanne currently works at Wells Fargo Clearing Services, LLC and has been with Wells Fargo Advisors LLC since 2009. Suzanne has a strong background in investment consulting services to institutional clients and also has a background in financial planning and pension consulting. Suzanne Small has a Series 7, Series 63, and Series 65 license and has held prior registrations with Prudential Securities Incorporated. Suzanne Small is registered to offer advisory services in 42 states including the District of Columbia, Texas, and Maryland.
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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2
DC
12/20/2023 - Present
Wells Fargo Clearing Services, LLC (WASHINGTON DC)
DC
07/01/2003 - 08/09/2018
WELLS FARGO CLEARING SERVICES, LLC (WASHINGTON DC)
NY
11/04/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 04/04/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/20/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1999
Series 7 - General Securities 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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