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Detailed Report
SUSAN BARINGER INWOOD
SUSAN LEE BARINGER, SUSAN BARINGER GOODING, SUSAN B GOODINGINWOOD, SUSAN B INWOOD, SUSAN G INWOOD
CRD#: 826676
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 Las Vegas, NV
Registration History
19801985199019952000200520102015202020252 FIRMS1998 - 2009 (10 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1988 - 1998 (10 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1988 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1976 - 1988 (11 years)
License(s)

State Registrations

B
Arizona 12/16/2014
B
Nevada 11/18/2011
B
California 11/18/2011
IA
Nevada 4/7/2023
IA
California 11/23/2011
B
New Hampshire 1/22/2014
B
Colorado 11/18/2011
B
New Jersey 2/15/2024
B
Florida 11/18/2011
B
New York 11/18/2011
B
Hawaii 5/29/2024
B
Oregon 3/15/2012
B
Louisiana 6/25/2013
B
Utah 11/18/2011
B
Maryland 10/28/2019
B
Virginia 5/14/2021
B
Massachusetts 5/4/2018
B
Washington 11/20/2024
B
Minnesota 1/24/2018
B
Wisconsin 11/18/2011
B
Missouri 11/18/2011

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
Las Vegas, NV
8474 ROZITA LEE AVE STE 400, LAS VEGAS, NV 89113
Registered with this firm since 11/22/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
Las Vegas, NV
8474 ROZITA LEE AVE STE 400, LAS VEGAS, NV 89113
Registered with this firm since 11/18/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 11/22/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 11/22/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LOS ANGELES, CA
IA
 11/09/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 10/23/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 10/17/1988 - 10/28/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/11/1988 - 11/10/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
 09/01/1976 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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.