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SUSAN ELLENA
SUSAN MARIE ELLENA, SUSAN MARIE FLECKY, SUSAN MARIE MCGUIRE, SUSAN MCGUIRE
CRD#: 712663
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 7700 IRVINE CENTER DR
STE 520
IRVINE, CA 92618
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2022 (10 years)2 FIRMS2022 - Present (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2009 (14 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1986 - 1994 (8 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1984 - 1986 (1 year)BROONEY, PACE INC. (CRD# 6218)1984 - 1984 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1980 - 1984 (4 years)BJ. DAVID SECURITIES, INC. (CRD# 10000)1983 - 1984 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
License(s)

State Registrations

B
Arizona 11/7/2022

B
Missouri 11/7/2022

B
California 11/7/2022

B
Nevada 11/7/2022

IA
California 11/7/2022

B
Oregon 11/7/2022

B
Colorado 11/7/2022

B
South Carolina 11/7/2022

B
Florida 11/7/2022

B
Texas 11/27/2023

B
Hawaii 11/7/2022

IA
Texas 11/27/2023

B
Minnesota 5/30/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
7700 IRVINE CENTER DR STE 520, IRVINE, CA 92618
ORANGE, CA
Registered with this firm since 11/7/2022

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
7700 IRVINE CENTER DR STE 520, IRVINE, CA 92618
ORANGE, CA
Registered with this firm since 11/7/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/16/2012 - 11/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
B
10/15/2012 - 11/07/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
IA
06/01/2009 - 10/29/2012 MORGAN STANLEY (CRD#:149777) IRVINE, CA
B
06/01/2009 - 10/29/2012 MORGAN STANLEY (CRD#:149777) IRVINE, CA
IA
07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
B
08/12/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
B
01/20/1986 - 08/16/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
11/01/1984 - 01/23/1986 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
03/05/1984 - 11/07/1984 ROONEY, PACE INC. (CRD#:6218)
FINRA expelled the firm on 10/31/1988
B
07/24/1980 - 08/29/1984 PAINEWEBBER INCORPORATED (CRD#:8174)
B
02/19/1983 - 03/02/1984 J. DAVID SECURITIES, INC. (CRD#:10000)
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Investment Adviser
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.