Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Carlyon is a financial advisor with over 20 years of experience in the financial services industry. Susan currently works at Raymond James & Associates, Inc. based out of the Traverse City, MI branch office. Susan has held past positions with Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Susan holds licenses for Series 7, 63, 31 and SIE, and has passed the Uniform Investment Adviser Law Examination.
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.
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2
MI
03/02/2011 - Present
Raymond James & Associates, Inc. (TRAVERSE CITY MI)
MI
06/01/2009 - 03/01/2011
MORGAN STANLEY SMITH BARNEY (TRAVERSE CITY MI)
MI
08/18/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TRAVERSE CITY MI)
NY
05/08/1997 - 08/20/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/06/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 05/07/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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