Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Mangino is a financial advisor with over 30 years of experience in the financial services industry. Susan is currently registered with Raymond James & Associates, Inc. and is based out of their Naples, FL office. Previously, Susan was a financial advisor at Morgan Stanley, UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and E. F. O'Reilly, Inc. Susan holds Series 7, 24, 27, 63, 65, and 66 licenses. Susan specializes in providing financial planning, investment management, and other services to individuals, businesses, and organizations.
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.
Please see note in schedule d - miscellaneous
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
FL
01/06/2022 - Present
Raymond James & Associates, Inc. (Naples FL)
CA
11/08/2018 - 12/03/2021
MORGAN STANLEY (Westlake Village CA)
CA
02/11/2016 - 09/18/2018
UBS FINANCIAL SERVICES INC. (Los Angeles CA)
CA
03/06/2015 - 10/05/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
NJ
12/06/2007 - 04/28/2008
MORGAN STANLEY & CO. INCORPORATED (SHORT HILLS NJ)
NJ
12/15/1978 - 07/06/2005
E. F. O'REILLY, INC. (MIDLAND PARK NJ)
NA
01/03/1978 - 12/21/1978
TUCKER, ANTHONY & R. L. DAY, INC.
IA
Issued 07/07/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 04/16/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/06/1981
Series 24 - General Securities Principal Examination
BC
Issued 09/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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