Susan M. Gorski
Professional summary
Susan Mary Gorski was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Susan is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Susan had worked at 5 firms, which includes WELLS FARGO SECURITIES LLC, MORGAN STANLEY DW INC., SPEAR INSURANCE SERVICES INC., KENNEDY CABOT & CO., JMC INVESTMENT SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1990 - December 16, 1992
WELLS FARGO SECURITIES, LLC
November 26, 1988 - July 17, 1990
MORGAN STANLEY DW INC.
October 1, 1987 - May 18, 1990
SPEAR INSURANCE SERVICES, INC.
August 20, 1987 - September 1, 1987
KENNEDY, CABOT & CO.
August 20, 1987 - September 14, 1988
JMC INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 7665 / SEC#: , 8-22947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO PRIVATE CLIENT FUNDING, INC. | PARENT | |
| HULLAR, JOHN PAUL | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD | |
| SALINS, NATASHA ZALEEMA | CHIEF COMPLIANCE OFFICER | 3250279 |
| SLOAN, TIMOTHY JOHN | VICE CHAIRMAN OF THE BOARD/DIRECTOR | |
| YATES, EUGENE ALAN | CHIEF FINANCIAL OFFICER/TREASURER/FINANCIAL AND OPERATIONS PRINCIPAL | 2851324 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
Red Flags
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