Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Tate is a financial advisor in Storrs, CT with over 27 years of experience in the financial industry. Susan is a registered representative of Cambridge Investment Research Advisors, Inc. and is licensed to sell securities in over 30 states. Susan has extensive experience providing financial planning, portfolio management, and other investment-related services to individuals, families, and businesses. Susan is dedicated to helping clients reach their financial goals and is committed to providing exceptional service.
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.
Solicitation fees from 3rd party money managers
1
2
CT
01/06/2015 - Present
Cambridge Investment Research Advisors, Inc. (STORRS CT)
CT
02/01/2007 - 10/13/2011
TOWER SQUARE SECURITIES, INC. (STORRS CT)
CT
03/09/2006 - 02/06/2007
WOODBURY FINANCIAL SERVICES, INC. (STORRS CT)
CT
09/23/1996 - 03/08/2006
TOWER SQUARE SECURITIES, INC. (STORRS CT)
BOTH
Issued 10/25/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/20/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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