Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Stephens is a financial advisor with over 25 years of experience in the financial services industry. Susan Stephens currently works with Oppenheimer & Co. Inc. Prior to joining Oppenheimer & Co. Inc. Susan worked for CHARLES SCHWAB & CO., INC. Susan has experience working with corporations, individuals, high net worth individuals, charitable organizations, retirement plans, and other types of clients. Susan Stephens holds Series 63, Series 65, Series 7, and Series 62 licenses.
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.
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.
1
2
FL
01/26/2011 - Present
Oppenheimer & Co. Inc. (FORT LAUDERDALE FL)
FL
06/15/1998 - 11/11/2010
CHARLES SCHWAB & CO., INC. (PLANTATION FL)
CT
12/11/1996 - 03/15/1998
MAYER & SCHWEITZER, INC. (STAMFORD CT)
MO
03/13/1996 - 09/16/1996
KENNY SECURITIES CORP. (ST. LOUIS MO)
FL
04/17/1995 - 03/19/1996
JOSEPH CHARLES & ASSOC., INC. (BOCA RATON FL)
NY
02/14/1995 - 04/19/1995
MEYERS POLLOCK ROBBINS, INC. (NEW YORK NY)
NY
02/07/1995 - 02/17/1995
COLIN WINTHROP & CO., INC. (JERICHO NY)
FL
06/16/1994 - 12/06/1994
BILTMORE SECURITIES, INC (FT. LAUDERDALE FL)
IA
Issued 11/27/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1995
Series 7 - General Securities Representative Examination
BC
Issued 06/15/1994
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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