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 Mitchell is a registered representative and investment advisor representative with Oppenheimer & Co. Inc. in Denver, CO. Susan has over 40 years of experience in the financial services industry. Prior to joining Oppenheimer & Co. Inc., Susan was a registered representative at RBC CAPITAL MARKETS, LLC. Susan is a Series 63, 65, 3, 5, 7, 8, 9, and 10 licensed professional. Susan provides financial planning, pension consulting, and portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CO
04/27/2012 - Present
Oppenheimer & Co. Inc. (DENVER CO)
CO
11/18/2002 - 03/26/2012
RBC CAPITAL MARKETS, LLC (DENVER CO)
MN
11/30/1994 - 12/03/2002
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
11/29/1983 - 12/06/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/20/1981 - 11/11/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 02/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/06/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/1984
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
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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