Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Lupo is a financial advisor at UBS Financial Services Inc. Susan has been in the financial industry for over 20 years. Susan has a wide range of experience, having previously worked at CREDIT SUISSE SECURITIES (USA) LLC, SWISS AMERICAN SECURITIES INC., and NATIONAL INVESTOR SERVICES CORP. Susan is licensed to provide financial advice in New Jersey and New York.
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
NJ
03/30/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
11/17/2008 - 07/25/2016
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
08/19/2004 - 10/17/2008
SWISS AMERICAN SECURITIES INC. (NEW YORK NY)
NE
02/11/2002 - 08/09/2004
NATIONAL INVESTOR SERVICES CORP. (BELLEVUE NE)
BOTH
Issued 03/29/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2002
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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