Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Small is an investment professional with over 20 years of experience in the financial industry. Susan has been active in the financial services industry since July 22, 2000. Susan currently works as a Registered Representative at Dimensional Fund Advisors LP, a firm registered with the Securities and Exchange Commission (SEC) as an investment advisor. Previously, Susan was employed at UBS ASSET MANAGEMENT (US) INC., FORESIDE FUND SERVICES, LLC, DEAM INVESTOR SERVICES, INC., NICHOLAS-APPLEGATE SECURITIES LLC, and PHOENIX EQUITY PLANNING CORPORATION. Susan is licensed in all 50 states to sell securities and provide investment advice.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
03/17/2020 - Present
Dimensional Fund Advisors LP (AUSTIN TX)
IL
09/30/2015 - 12/24/2018
UBS ASSET MANAGEMENT (US) INC. (CHICAGO IL)
ME
07/03/2013 - 12/31/2013
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
IL
10/17/2006 - 11/04/2010
DEAM INVESTOR SERVICES, INC. (CHICAGO IL)
IL
10/05/1998 - 09/26/2006
NICHOLAS-APPLEGATE SECURITIES LLC (NORTHFIELD IL)
CT
01/02/1996 - 08/28/1998
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
CO
12/06/1994 - 01/02/1996
ALPS MUTUAL FUNDS SERVICES, INC. (DENVER CO)
BC
Issued 12/27/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/2016
Series 24 - General Securities Principal Examination
BC
Issued 12/19/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2017
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/2003
Series 7 - General Securities Representative Examination
BC
Issued 12/05/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/29/1990
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
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