Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Lippman Halpern is an investment advisor representative who has been working in the financial services industry since 1997. Susan is registered with UBS Financial Services Inc. and has been employed with the firm since March 2011. Previously, Susan worked at Manning & Napier Investor Services, Inc., M&T Securities, Inc., and Merrill Lynch Funds Distributor, Inc. Susan has a Series 66, Series 7 and SIE license. Susan specializes in providing financial planning, pension consulting, educational seminars and selection of other advisors.
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
NY
08/15/2011 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
08/27/2002 - 03/30/2011
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
MD
08/19/1998 - 02/08/1999
M&T SECURITIES, INC. (BALTIMORE MD)
NY
02/18/1997 - 07/30/1998
MERRILL LYNCH FUNDS DISTRIBUTOR, INC. (NEW YORK NY)
BOTH
Issued 02/10/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1997
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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