Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Baxter is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Susan has been in the industry since 1994 and is currently registered in 38 states and 2 jurisdictions. She is also registered with FINRA. Susan has a history of working with various financial institutions, including UBS Financial Services Inc., Bear Stearns & Co. Inc., Morgan Stanley DW Inc. and Paine Webber Incorporated. Susan has earned her Series 63, Series 7 and SIE licenses. Her expertise includes providing financial and investment advice for individuals, businesses, corporations, high-net-worth individuals, and pension and profit-sharing plans.
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
NY
07/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
02/15/2008 - 10/08/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
05/07/2002 - 02/27/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/23/1999 - 05/07/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
10/07/1994 - 05/05/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 11/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1994
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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