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 Kaupie is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since June 22, 2011. Susan has extensive experience in the financial services industry, having previously worked for several other firms including Salomon Smith Barney Inc. and Paine Webber Incorporated. Susan holds the Series 7, 63, 66, and SIE licenses. Susan specializes in providing portfolio management for individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
01/03/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW CANAAN CT)
NY
02/16/2000 - 07/05/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
06/06/1996 - 02/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/03/1995 - 05/23/1996
SALOMON BROTHERS INC. (NEW YORK NY)
NY
07/27/1992 - 11/14/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 06/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/26/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/25/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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