Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Cruz is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with over 10,000 licensed agents and over 26,000 investment advisor representatives. Susan has over 30 years of experience in the financial services industry. Susan has held various positions at Merrill Lynch, Pierce, Fenner & Smith Inc. and Fifth Third Securities, Inc., including a position as an Advisory Board Member for the Parkinson Foundation Western PA. Susan is registered with FINRA and holds the Series 3, 7, 10, 23, 24, 31 and 63 securities licenses. Susan is also registered as an investment advisor in several states, including Ohio, Pennsylvania and Texas.
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
PA
06/22/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSBURGH PA)
OH
11/18/2016 - 02/16/2018
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
CT
02/23/1984 - 01/04/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW HAVEN CT)
IA
Issued 04/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1985
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 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/06/2017
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 09/14/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2015
Series 3 - National Commodity Futures Examination
BC
Issued 10/11/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 02/18/1984
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
Not sure Susan Cruz is the right advisor for you? Invested Better is here to help.
