Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sue? Claim Your ProfileSue Auwarter is a financial advisor registered with Wells Fargo Clearing Services, LLC. Sue has been in the financial services industry since 2000 and holds several licenses and designations including Series 7, Series 6, Series 10, Series 9 and Series 63 licenses. Sue has a wealth of experience working with a variety of clients, including individuals, families, businesses and charitable organizations. She provides a range of financial services, including financial planning, investment management, and retirement planning.
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.
Investment consulting services to institutional clients
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.
1
2
NY
07/20/2023 - Present
Wells Fargo Clearing Services, LLC (DEWITT NY)
NY
05/07/2010 - 08/03/2010
UBS FINANCIAL SERVICES INC. (SYRACUSE NY)
NY
03/20/2006 - 11/25/2009
UBS FINANCIAL SERVICES INC. (SYRACUSE NY)
NJ
08/23/2000 - 04/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/26/1998 - 08/01/2000
LEIGH BALDWIN & CO., LLC (CAZENOVIA NY)
CA
06/28/1994 - 01/29/1998
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
BC
Issued 08/31/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/10/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/20/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/07/2023
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 05/18/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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