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Susan Brown

Investment Adviser Representative at &PARTNERS

Charlotte, NCCRD #1357802Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
19 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 19 states
ArizonaCaliforniaColoradoDelawareFloridaGeorgiaIllinoisIndianaMassachusettsMichiganMissouriMontanaNevadaNorth CarolinaOhioSouth CarolinaTexasVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/23/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 7/23/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/19/1986
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 8/9/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

&Partners Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

&PARTNERSCurrent
3/13/2025Charlotte, NC
WELLS FARGO ADVISORS
7/1/20033/18/2025Charlotte, NC
PRUDENTIAL SECURITIES INCORPORATED
12/31/20017/1/2003Charlotte, NC

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Susan Brown has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Susan Brown - Financial Advisor in Charlotte, NC | AdvisorFinder