Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Boas is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Susan has been working in the financial services industry since 1996. She has experience in investment management, financial planning, and retirement planning. Susan is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, and Series 65 licenses. She is also registered as an investment advisor in California and Texas. Susan's expertise spans various financial needs, encompassing both individuals and businesses. She has a strong track record of providing personalized financial guidance.
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
CA
05/18/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
CA
08/03/2000 - 07/31/2007
WACHOVIA SECURITIES, LLC (SAN DIEGO CA)
MA
07/12/1999 - 08/28/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
08/01/1996 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 10/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/31/1996
Series 7 - General Securities 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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