linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Susan Elaine Naes

Schwab Wealth Advisory, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Susan? Claim Your Profile

About Susan Elaine Naes

Susan Naes is an investment advisor representative with Schwab Wealth Advisory, Inc. Susan is a registered investment advisor with over 20 years of experience in the financial services industry. Susan has a strong background in financial planning, portfolio management for individuals and businesses. Susan holds the Series 6, 7 and 66 licenses and is registered with the Securities and Exchange Commission (SEC). Prior to joining Schwab Wealth Advisory, Inc., Susan was a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated for over 10 years.

Firm Information

Susan Naes is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

check

other

Swa program paid by wrap sponsor pursuant to cost plan formula.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Susan Naes’s Registration & Firm History

CO

12/14/2020 - Present

Schwab Wealth Advisory, Inc. (Lone Tree CO)

CO

01/12/2016 - 06/28/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DENVER CO)

TX

01/02/2001 - 07/10/2003

INVESCO DISTRIBUTORS, INC. (HOUSTON TX)

CO

03/24/2000 - 12/01/2000

TRANSAMERICA CAPITAL, INC. (DENVER CO)

NY

08/28/1997 - 03/23/2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

Not sure if Susan Elaine Naes is right for you?

Licenses & Designations

BOTH

Issued 02/09/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/27/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2016

Series 7 - General Securities Representative Examination

BC

Issued 08/27/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Susan Elaine Naes.
Not sure if Susan Elaine Naes is right for you?