Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Smith is a financial advisor with over 20 years of experience in the industry. Susan has held various roles at several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Victory Capital Services, Inc., and LPL Financial LLC. Susan is currently registered with Fidelity Personal and Workplace Advisors in Dallas, 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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
07/30/2024 - Present
Fidelity Personal AND Workplace Advisors (DALLAS TX)
TX
06/14/2023 - 05/07/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN ANTONIO TX)
TX
01/29/2021 - 11/11/2022
VICTORY CAPITAL SERVICES, INC. (San Antonio TX)
TX
10/21/2019 - 12/22/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN ANTONIO TX)
TX
11/09/2018 - 10/14/2019
LPL FINANCIAL LLC (SAN ANTONIO TX)
TX
08/08/2011 - 03/16/2018
ADVISORS ASSET MANAGEMENT, INC. (BOERNE TX)
TX
03/17/2008 - 08/12/2011
CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)
TX
11/08/2006 - 09/06/2007
CHASE INVESTMENT SERVICES CORP. (UNIVERSAL CITY TX)
TX
12/13/2001 - 10/17/2006
ALLIANCEBERNSTEIN INVESTMENTS, INC. (SAN ANTONIO TX)
MN
09/15/1999 - 01/24/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/15/1999 - 01/24/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 12/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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