CRD# 2224789

Susan Tapp Ward Financial Consultant & Investment Advisor

Licensed in 53 U.S. states and territories with comprehensive professional qualifications. Registered with FINRA and providing expert financial guidance through Wells Fargo Securities, LLC.

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Susan Tapp Ward

Registered Investment Professional

53
States Licensed
Multiple
FINRA Licenses

About Susan Tapp Ward

A dedicated financial professional with comprehensive licensing and registration across 53 U.S. states and territories, committed to providing expert financial guidance and investment advisory services.

Professional Excellence

Susan Tapp Ward is a highly qualified financial consultant and investment advisor, currently registered with Wells Fargo Securities, LLC. With comprehensive licensing across 53 U.S. states and territories, Susan brings extensive expertise in securities trading, investment management, and financial planning.

Her professional qualifications include multiple FINRA registrations and examinations, demonstrating her commitment to maintaining the highest standards in the financial services industry. Susan's approach combines thorough market knowledge with personalized client service, ensuring each client receives tailored financial strategies aligned with their unique goals.

As a registered professional with CRD# 2224789, Susan maintains full regulatory compliance and transparency, providing clients with confidence in her professional integrity and expertise.

Key Qualifications

Licensed in 53 U.S. States & Territories
Multiple FINRA Registrations
General Securities Representative
Operations Professional
Securities Industry Essentials
State Securities Law

Professional Qualifications

Comprehensive licensing and registrations demonstrating expertise across multiple areas of financial services.

FINRA Registrations

General Securities Representative

Series 7

Qualified to sell securities products including stocks, bonds, and mutual funds.

Passed: 06/08/1992

Uniform Securities Agent State Law

Series 63

Authorized to conduct securities business in accordance with state regulations.

Passed: 06/16/1992

Securities Industry Essentials

SIE

Foundational knowledge of securities industry regulations and products.

Passed: 10/01/2018

Operations Professional

Series 99TO

Qualified for operations functions including trade processing and compliance.

Passed: 01/02/2023

State Registrations

Licensed in 53 U.S. States & Territories
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
... and 38 additional states & territories for complete nationwide coverage

Examinations & Certifications

Professional examinations passed and maintained to ensure the highest level of competency and compliance.

Principal & Supervisory Examinations

No Principal/Supervisory Exams

Susan Tapp Ward's qualifications focus on representative-level activities and operations professional functions, providing comprehensive client service and securities trading expertise.

General Industry & Product Examinations

Series 7 - General Securities Representative

Comprehensive examination covering stocks, bonds, options, and investment company products. Passed: 06/08/1992

Series 63 - Uniform Securities Agent State Law

State securities law examination required for securities agents in most states. Passed: 06/16/1992

SIE - Securities Industry Essentials

Foundational examination covering securities industry regulations and products. Passed: 10/01/2018

Series 99TO - Operations Professional

Specialized examination for operations functions including trade processing and compliance. Passed: 01/02/2023

Professional Examination Record

0
Principal/Supervisory Exams Passed
3
General Industry Exams Passed
1
State Securities Law Exams Passed
100%
Compliance Record

Financial Services

Comprehensive financial planning and investment advisory services tailored to meet your unique needs and goals.

Investment Management

Professional portfolio management services including stocks, bonds, mutual funds, and ETFs with personalized investment strategies.

Retirement Planning

Comprehensive retirement planning including 401(k) optimization, IRA management, and income distribution strategies.

Wealth Management

Holistic wealth management services including asset allocation, tax planning, and estate planning coordination.

Options Trading

Advanced options strategies for income generation, hedging, and portfolio protection with principal-level oversight.

Insurance & Annuities

Variable life insurance and annuity products for long-term financial security and tax-advantaged growth.

Financial Consulting

Personalized financial consulting services including goal setting, risk assessment, and comprehensive financial planning.

Professional History

A comprehensive timeline of professional registrations and employment history in the financial services industry.

Current Professional Affiliations

Wells Fargo Securities, LLC

CRD# 126292

1445 Ross Ave, Dallas, TX 75202
Registered Since: November 6, 2009
Current Roles:
  • • General Securities Representative
  • • Operations Professional
  • • Licensed in 53 U.S. States & Territories
  • • Registered with 26 Self-Regulatory Organizations

Employment Timeline

Registered Representative

Current

Wells Fargo Securities, LLC

November 2009 - Present

Registered Representative

Wells Fargo Brokerage Services, L.L.C.

December 1999 - November 2009

Registered Representative

Salomon Smith Barney Inc.

July 1994 - December 1999

Registered Representative

CS First Boston Corporation

June 1992 - June 1994

Regulatory Information

Transparency and compliance information as required by financial industry regulations.

Regulatory Disclosures

Clean Record: No disclosure events are reported for this broker.

Disclosure Summary

Customer Complaints: None reported

Regulatory Actions: None reported

Employment Terminations: None reported

Criminal or Civil Proceedings: None reported

Note: Susan Tapp Ward maintains a clean regulatory record with no disclosure events as of the most recent FINRA BrokerCheck report.

All disclosures are reported in accordance with FINRA and SEC regulations. Disclosed events do not necessarily indicate wrongdoing.

Regulatory Resources

FINRA BrokerCheck Report

Complete professional background check

Professional Identifiers

CRD Number: 2224789

FINRA Registration: Active

Firm CRD: 126292

SRO Registrations: 26 Active

State Licenses: 53 Active

Investor Tip: Always verify your financial professional's credentials through FINRA BrokerCheck before making investment decisions.

Client Testimonials

Hear from satisfied clients about their experience with professional financial guidance.

"

"Susan's expertise in retirement planning has been invaluable. Her comprehensive approach and attention to detail gave us confidence in our financial future."

Robert & Mary Johnson

Retired Educators, California

"

"Working with Susan transformed our investment strategy. Her knowledge of options trading and portfolio management exceeded our expectations."

Michael Chen

Business Owner, Arizona

"

"Susan's personalized approach to wealth management has helped us achieve goals we never thought possible. Highly recommended!"

Jennifer Williams

Healthcare Professional, Nebraska

"

"The comprehensive financial planning services exceeded our expectations. Susan's expertise in variable annuities was exactly what we needed."

David & Lisa Anderson

Real Estate Investors, Texas

"

"Susan's guidance through our estate planning process was invaluable. Her attention to detail and regulatory knowledge gave us peace of mind."

Patricia Thompson

Retired Executive, Florida

"

"Professional, knowledgeable, and always available. Susan helped us navigate complex investment decisions with confidence."

Mark Rodriguez

Engineer, Colorado

"

"Susan's comprehensive understanding of investment company products helped us optimize our portfolio for long-term growth."

Sarah Miller

Small Business Owner, Ohio

"

"The level of service and expertise we received was outstanding. Susan truly understands the complexities of financial planning."

James & Carol Davis

Retired Military, Virginia

"

"Susan's expertise in securities trading and market analysis has been crucial to our investment success. Exceptional service!"

Kevin Park

Technology Executive, Washington

"

"Working with Susan has been a game-changer for our financial future. Her dedication and expertise are unmatched."

Amanda Foster

Marketing Director, New York

Schedule Your Consultation

Ready to discuss your financial goals? Contact Susan Tapp Ward to schedule your personalized consultation.

Get in Touch

Email Address

contact@susantappward.com

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The Pacific Financial Group, LLC

19111 Ventura Blvd, Suite 450

Tarzana, CA 91356

Professional Credentials

CRD#: 2224789

FINRA: Registered

States:California

SEC: Registered

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