Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Esses is a financial professional with over 30 years of experience in the industry. Susan is currently registered with Principal Securities, Inc. and has previously been registered with firms including Lincoln Financial Advisors Corporation, Oppenheimer & Co. Inc., Morgan Stanley DW Inc., Equico Securities, Inc., The Equitable Life Assurance Society of the United States, Long Grove Trading Co., G. A. Horwitz & Co., Inc., and Wall Street Financial Inc. Susan holds the Series 7, Series 31, Series 63 and Series 65 licenses as well as the SIE exam. Susan has earned the Certified Financial Planner designation and provides services such as financial planning, portfolio management, and pension consulting.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IL
01/21/2009 - Present
Principal Securities, Inc. (Chicago IL)
IL
11/11/2008 - 12/01/2008
LINCOLN FINANCIAL ADVISORS CORPORATION (CHICAGO IL)
IL
08/25/2005 - 10/03/2008
OPPENHEIMER & CO. INC. (CHICAGO IL)
NY
12/21/1995 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/20/1987 - 01/01/1996
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
02/20/1987 - 01/01/1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
08/07/1985 - 01/20/1987
LONG GROVE TRADING CO.
NA
05/08/1984 - 09/24/1985
G. A. HORWITZ & CO., INC.
NA
06/22/1983 - 12/31/1984
WALL STREET FINANCIAL INC.
IA
Issued 11/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/28/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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