Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Shea has over 20 years of experience in the financial services industry. Susan is currently a registered representative of UBS Financial Services Inc. and has been with the firm since 2007. Prior to joining UBS Financial Services Inc., Susan worked at McDonald Investments Inc. and Royal Alliance Associates, Inc. Susan is a licensed Series 63, 65, 66, 3, 7, 10, 14, 4, 24, and SIE securities representative. Susan specializes in portfolio management for individuals and businesses, financial planning, 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.
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
NJ
07/21/2017 - Present
UBS Financial Services Inc. (Weehawken NJ)
FL
02/09/2007 - 10/12/2016
UBS FINANCIAL SERVICES INC. (NAPLES FL)
FL
09/08/2005 - 02/09/2007
MCDONALD INVESTMENTS INC. (BONITA SPRINGS FL)
AZ
01/20/2005 - 08/05/2005
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
OH
05/07/1993 - 01/10/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
BOTH
Issued 02/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/2005
Series 24 - General Securities Principal Examination
BC
Issued 11/22/2004
Series 4 - Registered Options Principal Examination
BC
Issued 05/15/2002
Series 14 - Compliance Officer Examination
BC
Issued 12/27/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/27/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2009
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/1993
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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