Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sue? Claim Your ProfileSue Vinciguerra is a financial professional with over 20 years of experience in the industry. Sue has a strong track record of success, working at prominent firms such as Deutsche Bank Securities Inc., TIAA-CREF Individual & Institutional Services, LLC, and Teachers Personal Investors Services, Inc. Currently, Sue is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a financial advisor, providing comprehensive financial services to a variety of clients. Sue is also a licensed principal, having passed the General Securities Principal Examination and the Investment Company Products/Variable Contracts Principal Examination.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/28/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
01/06/2006 - 05/23/2011
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/21/1999 - 07/30/2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NY
05/07/2001 - 12/31/2003
TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)
BC
Issued 08/08/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/11/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2006
Series 7 - General Securities Representative Examination
BC
Issued 09/06/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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