Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Darby is a financial advisor with Morgan Stanley, working in the Chicago office. Susan has been in the financial industry since August 1968. She is a Registered Representative and has a variety of licenses including Series 1, 7TO, SIE, and PC. In addition, Susan is registered in 24 states. Previously, Susan worked at CITIGROUP GLOBAL MARKETS INC. and HARRIS, UPHAM & CO. INCORPORATED.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
06/01/2009 - Present
Morgan Stanley (Chicago IL)
IL
02/26/1976 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NA
08/21/1968 - 02/26/1976
HARRIS, UPHAM & CO. INCORPORATED
BC
Issued 10/12/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 08/19/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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