Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Pena Lund is a financial advisor at UBS Financial Services Inc. Susan has been in the industry since 1994. Susan has a Series 7, Series 3 and a Series 63 license and has been registered with FINRA since 2004. Susan has worked at GBS Financial Corp. and Prudential Securities Incorporated before joining UBS. Susan is registered with the following states: Arizona, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Maryland, Massachusetts, Michigan, Nevada, New Mexico, New York, Oklahoma, Tennessee, Texas, Utah, Virginia, and Washington.
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.
See schedule d - miscellaneous
1
2
CA
05/21/2004 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
09/19/1997 - 03/19/1999
GBS FINANCIAL CORP. (SANTA ROSA CA)
NY
10/24/1995 - 09/23/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/11/1994 - 10/09/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 02/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1995
Series 3 - National Commodity Futures Examination
BC
Issued 10/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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