Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Sullivan is a financial advisor with Ameriprise Financial Services, LLC in Dubuque, Iowa. Susan has been in the financial services industry since 2001. She holds Series 7, Series 63, Series 79TO, and SIE licenses. She is registered with the following states: Florida, Illinois, Iowa, Minnesota, Mississippi, and South Carolina. Susan has experience working with individuals, high-net-worth individuals, trusts/estates, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. She is also experienced in financial planning, portfolio management, and providing asset allocation services.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
IA
03/08/2024 - Present
Ameriprise Financial Services, LLC (Dubuque IA)
NY
05/02/2018 - 01/14/2022
AXIO FINANCIAL LLC (NEW YORK NY)
IL
01/16/2001 - 01/11/2018
INCAPITAL LLC (CHICAGO IL)
CT
05/03/1999 - 01/22/2001
ABN AMRO INCORPORATED (STAMFORD CT)
BC
Issued 05/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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