Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Roth is an investment advisor representative who has been in the industry since 1995. Susan is registered with Essex Financial Services, Inc. and is currently licensed in Connecticut. Susan has experience with various financial institutions including Commonwealth Financial Network, United Planners' Financial Services of America a Limited Partner, Westport Resources Investment Services, Inc., and PlanMember Securities Corporation. Susan's experience also includes expertise in a variety of financial areas including portfolio management for businesses and individuals as well as financial planning and pension consulting.
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.
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.
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.
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2
CT
04/30/2024 - Present
Essex Financial Services, Inc. (ESSEX CT)
CT
04/11/2019 - 04/22/2024
COMMONWEALTH FINANCIAL NETWORK (WALLINGFORD CT)
CT
01/11/2019 - 03/21/2019
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (OLD SAYBROOK CT)
CT
01/06/2017 - 08/14/2018
WESTPORT RESOURCES INVESTMENT SERVICES, INC. (WESTPORT CT)
CT
09/17/2015 - 01/05/2017
PLANMEMBER SECURITIES CORPORATION (NEW HAVEN CT)
CT
12/06/2011 - 12/03/2014
WESTPORT RESOURCES INVESTMENT SERVICES, INC. (WESTPORT CT)
CT
05/12/2011 - 12/01/2011
NFP SECURITIES, INC. (BRIDGEPORT CT)
CT
06/14/2002 - 05/13/2011
WESTPORT RESOURCES INVESTMENT SERVICES, INC. (WESTPORT CT)
NJ
08/17/1998 - 06/13/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
11/08/1995 - 07/02/1998
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/31/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/13/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 08/14/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/1995
Series 7 - General Securities Representative Examination
BC
Issued 02/10/1995
Series 3 - National Commodity Futures Examination
Active
Inactive
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