Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Seifert is a financial advisor registered with UBS Financial Services Inc. Susan has been in the financial services industry since September 26, 1994. Susan is licensed to sell securities in 17 states and has a combined 16 active state registrations. Susan is also registered as an Investment Advisor Representative in Maryland. Susan has passed the Series 6, 7, 63, and 66 exams as well as the SIE exam. Susan has a strong background in providing financial advice to a wide range of clients including high net worth individuals, corporations, pension plans, and charitable organizations.
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
MD
12/20/2005 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MN
06/27/2003 - 03/16/2005
USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)
MD
07/19/1993 - 12/02/2002
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
BOTH
Issued 12/19/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1993
Series 7 - General Securities Representative Examination
BC
Issued 07/15/1993
Series 6 - Investment Company Products/Variable Contracts 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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