Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Helm is a financial advisor with LPL Financial LLC. Susan has been in the financial services industry since 1996. Susan is registered with FINRA and holds Series 3, 7, 10, 24, 63, and 65 licenses. Susan also holds a Series 8 license, which is no longer issued by FINRA. Susan's previous experience includes positions at MORGAN STANLEY, MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., WACHOVIA SECURITIES, LLC, PRUDENTIAL SECURITIES INCORPORATED, SCOTTRADE, INC., TD WATERHOUSE INVESTOR SERVICES, INC., and HALPERT AND COMPANY, INC.
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.
Consulting and other non-discretionary advisory services
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
SC
02/03/2014 - Present
LPL Financial LLC (FORT MILL SC)
PA
02/24/2010 - 01/31/2014
MORGAN STANLEY (BRYN MAWR PA)
PA
06/01/2009 - 12/19/2009
MORGAN STANLEY SMITH BARNEY (PHILADELPHIA PA)
PA
01/24/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PHILADELPHIA PA)
MO
10/26/2000 - 01/17/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/09/2000 - 10/12/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
10/19/1999 - 07/28/2000
SCOTTRADE, INC. (ST. LOUIS MO)
NE
08/26/1996 - 10/14/1999
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NJ
07/02/1996 - 07/16/1996
HALPERT AND COMPANY, INC. (MILLBURN NJ)
IA
Issued 05/27/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/1999
Series 24 - General Securities Principal Examination
BC
Issued 12/05/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2000
Series 3 - National Commodity Futures Examination
BC
Issued 07/01/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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