Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Jolie Swerdloff is a financial advisor with over 20 years of experience in the industry. Susan has been registered with the state of California since 2017, and is currently employed by MUFG Securities Americas Inc. where Susan is registered as a securities principal. Prior to joining MUFG, Susan was a Registered Representative at BTMU Securities, Inc., Salomon Smith Barney Inc., and CitiCorp Securities, Inc. Susan has passed a variety of industry exams, including the Series 7, Series 24, Series 63, and Series 79.
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.
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.
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2
CA
04/01/2017 - Present
Mufg Securities Americas Inc. (Los Angeles CA)
CA
02/14/2015 - 04/01/2017
BTMU SECURITIES, INC. (Los Angeles CA)
NY
10/08/1998 - 03/18/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
10/25/1991 - 10/08/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 06/01/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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