Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan L. Tunell is a financial advisor with over 18 years of experience in the financial services industry. Susan is currently registered with UBS Financial Services Inc. in California, New Mexico and Texas. Susan has previously been registered with Oppenheimer & Co. Inc., Chase Investment Services Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS International Inc. Susan holds Series 7, 9, 10 and 66 securities licenses and is also a registered investment advisor representative.
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.
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.
See schedule d - miscellaneous
1
2
CA
11/02/2010 - Present
UBS Financial Services Inc. (BREA CA)
AZ
06/08/2010 - 11/02/2010
OPPENHEIMER & CO. INC. (SCOTTSDALE AZ)
AZ
02/11/2010 - 05/19/2010
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
AZ
05/07/2009 - 01/29/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHOENIX AZ)
AZ
12/08/2004 - 05/06/2009
UBS INTERNATIONAL INC. (PHOENIX AZ)
BOTH
Issued 03/08/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/23/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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