Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Arnold is a financial advisor with over 30 years of experience in the financial services industry. Susan is registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2016. Susan also has previous experience with UBS Financial Services Inc. and Dean Witter Reynolds Inc. Susan holds a Series 7 and Series 63 license, and is also a registered Investment Advisor. Susan is based in Newport Beach, California and specializes in providing investment consulting services to institutional clients, as well as financial planning, pension consulting, and selection of other advisors.
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.
Investment consulting services to institutional clients
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.
1
2
CA
11/13/2018 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
06/30/2000 - 06/26/2008
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
NY
11/21/1991 - 07/05/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/21/1991 - 11/06/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/24/1990 - 03/01/1991
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 08/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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