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 Deming is a financial advisor with UBS Financial Services Inc. Susan has been in the financial industry since 1983 and holds a Series 7, Series 3, and Series 65 license. Prior to joining UBS Financial Services Inc., Susan worked at Sterne, Agee & Leach, Inc. and Nollenberger Capital Partners Inc. She also held positions at Piper Jaffray & Co. and Wells Fargo Securities Inc.
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
CA
06/03/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/11/2011 - 05/02/2011
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
10/04/2005 - 02/12/2011
NOLLENBERGER CAPITAL PARTNERS INC. (SAN FRANCISCO CA)
MN
09/25/1998 - 10/14/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
CA
04/09/1991 - 10/07/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
03/07/1983 - 12/08/1990
PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
IA
Issued 02/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1982
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1977
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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