Suzanne Marie Funk

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → 03/2018
  Scottrade, Inc.
  Williamsville, NY
• 06/2018 → 05/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenmore, NY
• 06/2018 → 05/2019
  Bank Of America, N.A.
  Kenmore, NY
• 03/2018 → 06/2018
  Unemployed
  East Amherst, NY
• 05/2019 → 07/2020
  Wells Fargo Clearing Services Llc
  Buffalo, NY
• 07/2020 → 01/2021
  Td Ameritrade
  Williamsville, NY
• 01/2021 → Present
  Wells Fargo Clearing Services, Llc.
  Buffalo, NY

Previous Registrations

• 2020-08-11 → 2021-01-11
  Td Ameritrade, Inc.
  Amherst, NY
• 2020-08-10 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Williamsville, NY
• 2019-05-29 → 2020-07-27
  Wells Fargo Clearing Services, Llc
  Williamsville, NY
• 2018-06-19 → 2019-05-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenmore, NY
  Kenmore, NY
  Albany, NY
  Tonawanda, NY
  Albany, NY
  Tonawanda, NY
• 2017-03-31 → 2018-03-09
  Scottrade Investment Management
  Saint Louis, MO

Other Businesses

Name: Suzanne M Funk, Role: Notary Public, Type: Other, Start Date: 10/27/2004, Investment Related?: No, Address: 114 Berwick Ln, East Amherst, NY 14051, Duties: Notary Public

Exams

• S66 Uniform Combined State Law Examination
  2017-03-29
• S63 Uniform Securities Agent State Law Examination
  2009-05-19

Other Names

• Suzanne Marie Prinz
• Suzanne M Funk
• Suzanne Marie Funk
• Suzanne Funk
• Sue Funk