Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Johnson is a financial professional with over 25 years of experience in the financial services industry. Susan is currently a Registered Representative and Investment Advisor Representative with RBC Capital Markets, LLC. Susan has held similar positions at other firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BBVA Securities Inc., and J.P. Morgan Securities LLC. Susan is a licensed securities professional and has passed several industry exams including Series 7, Series 6, Series 53, Series 24, and Series 66.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
AZ
07/25/2016 - Present
RBC Capital Markets, LLC (PHOENIX AZ)
AZ
10/19/2015 - 06/14/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
AZ
09/04/2013 - 10/08/2015
BBVA SECURITIES INC. (CHANDLER AZ)
AZ
10/01/2012 - 06/18/2013
J.P. MORGAN SECURITIES LLC (PHOENIX AZ)
AZ
09/18/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
TX
07/11/1997 - 08/08/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
08/19/1996 - 09/12/1996
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
05/18/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
06/10/1993 - 05/22/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
TX
05/28/1992 - 05/25/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
09/02/1986 - 05/20/1992
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
NA
11/29/1982 - 12/27/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
02/23/1981 - 10/25/1982
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 11/21/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/15/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2015
Series 7 - General Securities Representative Examination
BC
Issued 09/17/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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