Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Lepola is a financial advisor with UBS Financial Services Inc. in Naples, Florida. Susan has been in the financial services industry since 1999 and has extensive experience in helping clients with their financial planning needs. Susan is a Registered Representative and Investment Advisor Representative and holds Series 7, 31, 63, and 65 licenses. Susan is also a licensed agent in Indiana.
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
FL
11/19/2008 - Present
UBS Financial Services Inc. (NAPLES FL)
FL
04/02/2007 - 11/20/2008
MORGAN STANLEY & CO. INCORPORATED (BONITA SPRINGS FL)
FL
04/07/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BONITA SPRINGS FL)
FL
07/21/2003 - 04/12/2006
M&I BROKERAGE SERVICES, INC. (BONITA SPRINGS FL)
NC
01/14/1993 - 12/03/1996
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 10/31/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 07/19/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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