Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Elizabeth Baroch has been in the financial industry since March 1995. Susan is currently registered with Wells Fargo Clearing Services, LLC. She is registered as an Investment Adviser Representative in Delaware and Maryland. Susan has previously been registered with First Union Brokerage Services, Inc. and Signet Financial Services, Inc. Her areas of specialization include providing investment advice to high-net-worth individuals, corporations, and other businesses. Susan also provides financial planning and portfolio management services.
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
DE
03/27/2008 - Present
Wells Fargo Clearing Services, LLC (MILLVILLE DE)
NC
01/01/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
03/22/1995 - 01/01/1998
SIGNET FINANCIAL SERVICES,INC. (CHARLOTTE NC)
IA
Issued 03/17/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/21/1995
Series 6 - Investment Company Products/Variable Contracts 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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