Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Moss is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since December 8, 1997 and is registered with FINRA and in 52 states. Susan has a wide range of experience and qualifications, including the Series 3, 7, 9, 10, 31, and 63 exams, as well as the SIE and Series 65 exams. Susan has a long history with Merrill Lynch, starting in 1996 in Houston, TX. Susan's current office is located in McKinney, TX.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
04/02/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCKINNEY TX)
IA
Issued 07/26/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/07/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 11/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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