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 Lione is a financial advisor with over 27 years of experience in the financial services industry. Susan is currently registered with Raymond James & Associates, Inc. Prior to joining Raymond James & Associates, Inc., Susan was employed at JMP SECURITIES LLC, CANACCORD ADAMS INC., and KIDDER, PEABODY & CO. INCORPORATED. Susan specializes in a broad range of financial services and has passed numerous industry exams, including the Series 7, Series 63, Series 99TO, and SIE.
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.
Please see note in schedule d - miscellaneous
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
NY
08/06/2007 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
04/03/2006 - 08/07/2007
JMP SECURITIES LLC (NEW YORK NY)
NY
03/14/1996 - 02/03/2006
CANACCORD ADAMS INC. (NEW YORK NY)
NY
01/22/1993 - 09/02/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 01/18/1996
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 01/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
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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