Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Bowman is a registered investment advisor representative with Rockefeller Financial LLC. Susan has been in the industry since 1981 and has been registered with Rockefeller Financial LLC since 2020. Susan specializes in providing financial planning, pension consulting, and portfolio management for businesses and individuals. Susan holds a Series 63, Series 66, and Series 7 license. Susan is registered with the following states: Alabama, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Illinois, Louisiana, Maine, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Oklahoma, Pennsylvania, Puerto Rico, Tennessee, Texas, Utah, Virginia, and Wyoming. Susan previously worked at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
09/04/2020 - Present
Rockefeller Financial LLC (Houston TX)
TX
11/14/2008 - 09/17/2020
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
05/18/1981 - 11/14/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
BOTH
Issued 12/04/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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