Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Hume is a financial advisor with over 40 years of experience in the industry. Susan has worked with UBS Financial Services Inc. since 1990. Before joining UBS, Susan worked with several other firms including Kidder, Peabody & Co., Oppenheimer & Co., Smith Barney, Harris Upham & Co., and Shearson Lehman Brothers. Susan holds licenses in multiple states and has passed numerous industry exams including the Series 3, 5, 7, 63, and 65. Susan is also a member of the board of directors of the Squam Lakes Association.
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
VA
10/16/1997 - Present
UBS Financial Services Inc. (NORFOLK VA)
NY
06/19/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/15/1987 - 06/29/1990
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
03/17/1987 - 06/23/1987
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
05/18/1981 - 03/25/1987
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 01/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/13/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
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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