Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Susantio is a financial advisor with UBS Financial Services Inc. Eric has been in the industry since 2001. Eric has a Series 63, Series 66, and Series 7 licenses. Eric holds a Series 24 license for General Securities Principal. Eric is registered with the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA). Eric is also registered with the states of Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Idaho, Maine, Michigan, Nevada, New York, Oregon, Tennessee, Texas, Virginia, and Washington. Eric is also an Investment Advisor Representative (IAR) with UBS Financial Services Inc. Eric is licensed to provide financial and investment advice in California and Texas. Eric's previous employers include CITIGROUP GLOBAL MARKETS INC., LH ROSS & COMPANY, INC., and CONTINENTAL BROKER-DEALER CORP. Eric has worked in the retail sector and is a Macy's West Registry Specialist.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
04/10/2017 - Present
UBS Financial Services Inc. (SAN JOSE CA)
CA
12/01/2004 - 02/07/2008
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
FL
02/02/2004 - 08/11/2004
LH ROSS & COMPANY, INC. (BOCA RATON FL)
NY
08/15/2001 - 01/30/2004
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 04/09/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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