Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Tompkins is a registered representative with Stifel, Nicolaus & Company, Inc. in Charlottesville, Virginia. She has been in the financial services industry since 1993. Susan holds the Series 63, 66, 7, and SIE licenses and is registered to conduct business in 45 states and 2 provinces. Susan specializes in retirement planning, college savings, asset allocation, and estate planning.
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.
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2
VA
09/25/2009 - Present
Stifel, Nicolaus & Company, Inc. (CHARLOTTESVILLE VA)
VA
07/28/2004 - 09/25/2009
UBS FINANCIAL SERVICES INC. (NORFOLK VA)
GA
05/26/2000 - 02/23/2004
SUNTRUST SECURITIES, INC. (ATLANTA GA)
VA
08/03/1993 - 05/26/2000
CRESTAR SECURITIES CORPORATION (RICHMOND VA)
NY
05/06/1993 - 09/17/1993
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
BOTH
Issued 03/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1993
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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