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Detailed Report
SUZANNE AMUNDSON
Sue Amundson, Suzanne Marie Amundson, SUE BALFANY, SUZANNE MARIE BALFANY, SUZANNE M MEISTER…
CRD#: 1615400
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1220 COUNTY RD E W
ARDEN HILLS, MN 55112
Registration History
199019952000200520102015202020252 FIRMS2010 - 2022 (12 years)2 FIRMS2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2009 (3 years)BPIPER JAFFRAY & CO. (CRD# 665)1997 - 2006 (8 years)BDAIN BOSWORTH INCORPORATED (CRD# 7600)1992 - 1997 (5 years)BDAIN BOSWORTH INCORPORATED (CRD# 7600)1989 - 1992 (2 years)
License(s)

State Registrations

B
Arizona 5/13/2022
IA
Minnesota 5/13/2022
B
California 5/13/2022
B
Nevada 5/13/2022
B
Colorado 5/7/2024
B
New Jersey 2/14/2023
B
Florida 5/13/2022
B
North Carolina 9/27/2023
B
Illinois 11/8/2024
B
Virginia 5/13/2022
B
Iowa 11/8/2024
B
Washington 5/4/2023
B
Kansas 5/13/2022
B
Wisconsin 5/13/2022
B
Minnesota 5/13/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1220 COUNTY RD E W, ARDEN HILLS, MN 55112
Registered with this firm since 5/13/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1220 COUNTY RD E W, ARDEN HILLS, MN 55112
Registered with this firm since 5/13/2022
Previous Registration(s)
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IA
 05/10/2010 - 05/18/2022 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) LITTLE CANADA, MN
B
 05/06/2010 - 05/18/2022 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) LITTLE CANADA, MN
B
 08/12/2006 - 10/28/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) MINNEAPOLIS, MN
B
 10/20/1997 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
 05/05/1992 - 09/10/1997 DAIN BOSWORTH INCORPORATED (CRD#:7600)
B
 04/18/1989 - 02/20/1992 DAIN BOSWORTH INCORPORATED (CRD#:7600)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.