Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Dalton is a financial professional with over 30 years of experience in the industry. Susan is currently registered with Citigroup Global Markets Inc. in New York, NY. Previously, Susan was with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc., Smith Barney, Harris Upham & Co., Incorporated, Shearson Lehman Hutton Inc. and Paine Webber Incorporated. Susan offers portfolio management for businesses and individuals, as well as financial planning and pension consulting. Susan is licensed in 22 states and holds FINRA Series 7, 9, 10, 63, 79TO, and SIE licenses.
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.
Asset allocation advice
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
NY
08/03/2010 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
06/01/2009 - 09/13/2010
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/24/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
01/02/1990 - 06/08/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
06/12/1989 - 12/08/1989
SHEARSON LEHMAN HUTTON INC.
NY
04/11/1988 - 12/08/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
11/15/1988 - 03/08/1989
PAINEWEBBER INCORPORATED
NA
03/24/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
BC
Issued 03/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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