Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan t? Claim Your ProfileSusan Theresa Carragher is a financial professional with over 16 years of experience in the industry. Susan has a strong background in the financial services industry, having worked for several prominent firms including UBS Financial Services Inc., UBS Securities LLC and First Clearing, LLC. Susan is currently a registered representative with Raymond James & Associates, Inc. Susan holds several licenses and certifications, including the Series 7, Series 24, Series 27, SIE and Series 99TO exams. Susan has a deep understanding of financial markets and a commitment to providing her clients with personalized financial advice.
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.
Please see note in schedule d - miscellaneous
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
FL
12/18/2015 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
08/27/2013 - 11/11/2015
UBS SECURITIES LLC (NEW YORK NY)
NJ
01/01/2010 - 11/11/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
08/21/2007 - 01/01/2010
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NJ
06/21/2007 - 08/24/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
VA
08/30/2006 - 06/19/2007
FIRST CLEARING, LLC (RICHMOND VA)
BC
Issued 09/05/2006
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/12/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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