Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sue anna? Claim Your ProfileSue anna Piedra is a registered representative and investment advisor representative who has been in the financial industry since 2004. Sue anna Piedra is currently registered with Oppenheimer & Co. Inc. and has been registered with this firm since 2019. Previously, Sue anna Piedra was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ross, Sinclaire & Associates, Inc., The Concord Equity Group, LLC and GKN Securities Corp. Sue anna Piedra's specialties include retirement planning, financial planning, and portfolio management. Sue anna Piedra is also registered with the following states: Arkansas, California, Colorado, Florida, Georgia, New York, Ohio, Oregon, Texas, Washington, and Wyoming.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TX
03/14/2019 - Present
Oppenheimer & Co. Inc. (AUSTIN TX)
TX
03/04/2004 - 06/20/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUSTIN TX)
OH
10/08/2001 - 03/28/2002
ROSS, SINCLAIRE & ASSOCIATES, INC. (CINCINNATI OH)
NJ
01/16/2001 - 02/08/2001
THE CONCORD EQUITY GROUP, LLC (ISELIN NJ)
NY
10/05/2000 - 01/23/2001
GKN SECURITIES CORP. (NEW YORK NY)
BOTH
Issued 11/01/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2000
Series 7 - General Securities Representative Examination
Active
Inactive
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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