Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Amy Howard is a financial advisor with UBS Financial Services Inc. Susan has been in the industry since September 3, 1999. Susan has a wide range of experience, having previously worked at State Street Global Advisors Funds Distributors, LLC, GE Investment Distributors, Inc, APB Financial Group, LLC, IFMG Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Susan holds Series 7, 24, 63, 65, and 99TO licenses. Susan is registered in 21 states, including California, Colorado, Connecticut, Florida, Georgia, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, Ohio, Oregon, Pennsylvania, Tennessee, and Texas.
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
CT
05/18/2023 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
07/01/2016 - 03/07/2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (STAMFORD CT)
CT
09/10/2010 - 07/01/2016
GE INVESTMENT DISTRIBUTORS, INC (STAMFORD CT)
NY
08/04/2010 - 09/08/2010
APB FINANCIAL GROUP, LLC (NEW YORK NY)
NY
09/18/1996 - 08/29/2008
IFMG SECURITIES, INC. (PURCHASE NY)
NY
10/17/1995 - 09/03/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/09/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1995
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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