Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Wong-andrus is a financial advisor with UBS Financial Services Inc. Susan has been in the industry since 1987 and has a broad range of experience, specializing in helping individuals and businesses achieve their financial goals. Susan is licensed in several states including Texas, Illinois, Florida, California, and Pennsylvania, where she has been actively providing investment advice to clients. She is a member of the Financial Industry Regulatory Authority (FINRA) and has been recognized for her commitment to providing exceptional client service. Prior to joining UBS Financial Services Inc., Susan has held positions at DEAN WITTER REYNOLDS INC. and THOMSON MCKINNON SECURITIES INC.
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
TX
06/10/1994 - Present
UBS Financial Services Inc. (HOUSTON TX)
NY
08/29/1989 - 06/16/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
08/25/1989 - 10/04/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
07/22/1987 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 08/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
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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