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SUSAN J PYE
CRD#: 4472390
IA
B
WELLS FARGO ADVISORSCRD#: 19616 254 COMMERCIAL ST STE 257
PORTLAND, ME 04101
PORTLAND, ME 04101
0
Disclosures
21
Years of Experience
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State Registrations
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Arkansas 2/4/2022
B
New Hampshire 2/12/2016
B
California 10/30/2022
B
New York 3/3/2022
B
Connecticut 12/24/2024
B
North Carolina 3/7/2024
B
District of Columbia 3/5/2021
B
Oregon 3/31/2025
B
Florida 2/12/2016
B
Rhode Island 7/21/2022
B
Kentucky 11/13/2018
B
South Carolina 2/12/2016
B
Maine 2/12/2016
B
Utah 2/4/2022
IA
Maine 2/12/2016
B
Vermont 6/21/2022
B
Massachusetts 2/12/2016
B
Washington 1/3/2025
B
Missouri 10/17/2023
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 2/12/2016
B
Registered with this firm since 2/12/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/23/2004 - 02/16/2016 | PORTLAND, ME | |
B | 06/02/2004 - 02/16/2016 | PORTLAND, ME | |
B | 11/24/2003 - 04/29/2004 | SMITHFIELD, RI |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.