Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Knox is a financial advisor who has been in the industry since 2018. Susan is currently registered with LPL Financial LLC and has licenses in California, Texas and several other states. Before working for LPL Financial, Susan worked for WELLS FARGO CLEARING SERVICES, LLC and Northwestern Mutual Investment Services, LLC. Susan has various licenses and professional certifications, including Series 65, Series 63, Series 7, Series 9 and Series 10.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
02/13/2023 - Present
LPL Financial LLC (ROSEVILLE CA)
CA
12/18/2017 - 04/28/2022
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
07/31/2017 - 11/30/2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SACRAMENTO CA)
IA
Issued 05/23/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/10/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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