Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Stewart is a financial advisor with RBC Capital Markets, LLC. Susan has been in the industry since 1992. She has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated and First Fund Distributors, Inc. in the past. Susan holds Series 2, 6, 7, 63, and 65 licenses. She is registered in California, Colorado, Delaware, District of Columbia, Florida, Georgia, Idaho, Kentucky, Maryland, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Virginia, and West Virginia. Susan provides financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for individuals, businesses, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
01/16/2019 - Present
RBC Capital Markets, LLC (CHEVY CHASE MD)
MD
06/24/2011 - 01/17/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BETHESDA MD)
AZ
06/07/1999 - 09/06/2000
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
NY
08/09/1989 - 01/22/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/30/1987 - 07/27/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 05/20/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/04/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/22/1996
Series 2 - Non-Member General Securities Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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