Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Daly is a financial advisor with UBS Financial Services Inc. in NEW YORK, NY. Susan has been in the financial services industry since 2007. Susan holds Series 7 and Series 66 securities licenses and is registered to sell securities in 30 states and the District of Columbia. Susan also holds an Investment Advisor Representative license in New York and Texas. Susan specializes in working with high-net-worth individuals, corporations, pension plans, and charitable organizations. Susan has a strong background in financial planning and investment management.
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
NY
08/21/2012 - Present
UBS Financial Services Inc. (NEW YORK NY)
IL
05/28/2010 - 05/11/2011
HIGHTOWER SECURITIES, LLC (CHICAGO IL)
NY
07/30/2007 - 06/10/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 04/21/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2007
Series 7 - General Securities 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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