TrueAdvisor
TrueAdvisor
SA
SA

Susan Arnold

Wells Fargo Advisors
36 Years of Experience
Newport Beach, CA
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Susan Arnold is a registered investment advisor at Wells Fargo Advisors, based in Newport Beach, CA, with 36 years of industry experience. Susan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

520 Newport Center Dr Ste 1700, Newport Beach, CA, 92660

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
February 2025
Final
Regulatory
October 2021
Final
Customer Dispute
September 2013
Settled
Customer Dispute
June 2004
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
June 2008 - Present · 18 yrs 4 mos
Wells Fargo Clearing Services, LLC
June 2008 - Present · 18 yrs 4 mos
Wells Fargo Clearing Services, LLCBroker
June 2008 - Present · 18 yrs 4 mos
Previous Registrations
UBS Financial Services INC.
August 2000 - June 2008 · 7 yrs 10 mos
UBS Financial Services INC.Broker
June 2000 - June 2008 · 8 yrs
Dean Witter Reynolds INC.Broker
November 1991 - July 2000 · 8 yrs 8 mos
Lehman Brothers INC.Broker
February 1991 - November 1991 · 9 mos
Oppenheimer & CO., INC.Broker
April 1990 - March 1991 · 11 mos
State Registrations22 states
AZCACOFLGAIDILKYMIMNMONCNJNMNVNYORTNTXUTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Newport Beach, CA →All financial advisors in California →