Susan Griswold Mamer

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2020-03-18
TX	RA	APPROVED_RES	2016-11-03
CA	RA	APPROVED	2009-02-23

CO RA
APPROVED

Since 2020-03-18
TX RA
APPROVED_RES

Since 2016-11-03
CA RA
APPROVED

Since 2009-02-23

Branch Locations

Morrison, CO • United States

2400 E Katella Ave Ste 1000, Anaheim, CA 92806 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Mission Viejo	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Mission Viejo	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Mission Viejo, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Mission Viejo, CA

Previous Registrations

1997-07-08 → 2009-03-13

Citigroup Global Markets Inc.

Laguna Niguel, CA

Laguna Niguel, CA

Other Businesses

TRUSTEE FOR MOTHER, INV. RELATED; PORT CHARLOTEE, FL; START DATE 1/2018; 4 HRS PER MONTH; 1 HR DURING TRADING. RENTAL PROPERTY, INVT RELATED, LAKEWOOD, CO, 100% OWNERSHIP, START DATE 8/18/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, COLLECT RENT AND MANAGE PROPERTY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-03-26
S63	Uniform Securities Agent State Law Examination	1988-05-27

S65 Uniform Investment Adviser Law Examination

1992-03-26
S63 Uniform Securities Agent State Law Examination

1988-05-27

Other Names

Susan Girswold Carroll
Sue Carroll
Sue G. Mamer

View on SEC IAPD