Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Regina Cornford is a financial advisor who has been in the industry since 2012. Susan is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked for J.P. Morgan Securities LLC, PNC INVESTMENTS, UBS FINANCIAL SERVICES INC. and WACHOVIA SECURITIES, LLC. Susan has passed several securities exams, including the Series 66, Series 63, Series 9, Series 7TO, SIE, Series 6, and Series 7 exams. Susan is registered in 16 states, including Connecticut, Delaware, District of Columbia, Florida, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, and Virginia. Susan also holds a Series 99 license.
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
NJ
06/29/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHREWSBURY NJ)
NJ
03/06/2015 - 10/28/2015
J.P. MORGAN SECURITIES LLC (SPRING LAKE NJ)
NJ
07/27/2007 - 09/28/2011
PNC INVESTMENTS (TOMS RIVER NJ)
NJ
08/18/2006 - 01/04/2007
PNC INVESTMENTS (EAST BRUNSWICK NJ)
NJ
07/07/2005 - 06/01/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
01/29/2003 - 09/09/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BOTH
Issued 06/19/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/26/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/28/2003
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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