Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Christy is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Susan has been in the financial industry since January 18, 1989. Susan is registered with the Securities and Exchange Commission and holds the Series 7, Series 6, and Series 66 licenses. Susan's previous employment includes First Albany Corporation and PaineWebber Incorporated. Susan specializes in investment advisory services, portfolio management, and financial planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
12/06/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
NY
12/01/1989 - 04/10/1990
FIRST ALBANY CORPORATION (NEW YORK NY)
NJ
09/26/1988 - 08/16/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 10/28/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
BC
Issued 07/02/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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