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Susan Elizabeth Baroch

Wells Fargo Clearing Services, LLC

Millville, DE

Columbia, MD

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2016-08-25
MD RA APPROVED 2008-03-27
  • DE RA
    APPROVED
    Since 2016-08-25
  • MD RA
    APPROVED
    Since 2008-03-27

Branch Locations

38011 Town Center Dr, Millville, DE 19967 • United States

8830 Stanford Blvd 3Rd Fl [M2-Rbo], Columbia, MD 21045 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wachovia Bank, N.A. Baltimore MD 06/2002 Present
Wells Fargo Advisors Llc Baltimore MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Baltimore MD 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank, N.A.
    Baltimore, MD
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Baltimore, MD
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Baltimore, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-17
S63 Uniform Securities Agent State Law Examination 2006-03-21
  • S65 Uniform Investment Adviser Law Examination
    2008-03-17
  • S63 Uniform Securities Agent State Law Examination
    2006-03-21

View on SEC IAPD

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