Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Marie Dixon is an active investment advisor representative with Stifel, Nicolaus & Company, Inc. based in Irvine, CA. Susan has been in the securities industry since October 1997. Previously, Susan worked for MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC. and MORGAN STANLEY DW INC. Susan has a wide range of experience and expertise in financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management. Susan holds Series 3, 7, 8, 9, 10, 31, 63, and 65 licenses.
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.
1
2
CA
09/07/2010 - Present
Stifel, Nicolaus & Company, Inc. (IRVINE CA)
CA
06/01/2009 - 04/14/2010
MORGAN STANLEY SMITH BARNEY (LAGUNA NIGUEL CA)
CA
10/19/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
NY
03/12/1997 - 08/05/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 04/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/15/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2002
Series 3 - National Commodity Futures Examination
BC
Issued 03/27/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 03/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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