Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Catherine Smith is a Los Angeles-based financial professional with over a decade of experience in the securities industry. Susan is currently registered with Bernstein Institutional Services LLC as a registered representative. She is also a Series 3, 63, and 7 licensed professional. Prior to joining Bernstein Institutional Services LLC, Susan was a registered representative with SANFORD C. BERNSTEIN & CO., LLC and TICONDEROGA SECURITIES LLC. Susan specializes in providing financial advice and services to a range of clients, including individuals, institutions, and businesses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
1
2
CA
03/29/2024 - Present
Bernstein Institutional Services LLC (Los Angeles CA)
CA
10/03/2014 - 03/29/2024
SANFORD C. BERNSTEIN & CO., LLC (LOS ANGELES CA)
NY
06/02/2011 - 01/31/2012
TICONDEROGA SECURITIES LLC (NEW YORK NY)
NY
03/24/2009 - 06/06/2011
SOLEIL SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 10/10/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Susan Smith is the right advisor for you? Invested Better is here to help.
