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Susan Brough

Wells Fargo Advisors Financial Network, LLC

St. Louis, MO

Smithton, IL

Wells Fargo Clearing Services, LLC

St. Louis, MO

Smithton, IL

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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-01
MO RA APPROVED 2024-03-14
  • IL RA
    APPROVED
    Since 2024-07-01
  • MO RA
    APPROVED
    Since 2024-03-14

Branch Locations

One North Jefferson Avenue H0004-05C, St. Louis, MO 63103 • UNITED STATES

Smithton, IL • United States

Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-01
MO RA APPROVED 2008-11-11
  • IL RA
    APPROVED
    Since 2024-07-01
  • MO RA
    APPROVED
    Since 2008-11-11

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

Smithton, IL • 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
Wells Fargo Advisors Llc Saint Louis MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saint Louis MO 11/2016 Present
Other Businesses

TOUCHSTONE CRYSTAL JEWELRY, NOT INV RELATED, INDEPENDENT CONSULTANT, START 11/6/2017, 12 HOURS PER MONTH, ZERO DURING TRADING, JEWELRY SALES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-08
S63 Uniform Securities Agent State Law Examination 2002-11-08
  • S66 Uniform Combined State Law Examination
    2008-08-08
  • S63 Uniform Securities Agent State Law Examination
    2002-11-08
Other Names
  • Susan Hope Rogers
  • Susan H Brough
  • Susan Hope Brough

View on SEC IAPD

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