Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Rios has been in the financial industry since 1999. Susan is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative and is also registered with the state of Texas as an Investment Advisor Representative. Susan previously worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED, RYAN BECK & CO., RBC DAIN RAUSCHER INC., TUCKER ANTHONY INCORPORATED, and J. B. HANAUER & CO. Susan has a Series 7, Series 63, and SIE licenses. Susan specializes in providing financial planning and portfolio management services to individuals and businesses. Susan has a strong track record of helping clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
NJ
11/04/2019 - Present
Wells Fargo Clearing Services, LLC (FLORHAM PARK NJ)
NJ
08/21/2007 - 08/17/2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED (FLORHAM PARK NJ)
NJ
07/31/2002 - 08/21/2007
RYAN BECK & CO. (FLORHAM PARK NJ)
NY
03/09/2002 - 08/02/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
05/18/2000 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
05/19/1999 - 05/23/2000
J. B. HANAUER & CO. (PARSIPPANY NJ)
BC
Issued 07/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Susan Rios is the right advisor for you? Invested Better is here to help.
