Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Cummings has been a registered representative for over 20 years. Susan currently works for LPL Financial LLC in Hedgesville, WV. Susan has experience in the financial industry with previous employment at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., UBS FINANCIAL SERVICES INC., and SALOMON SMITH BARNEY INC. Susan is currently registered in 16 states for both broker-dealer and investment advisor activities. Susan is also a Series 65, Series 63, and Series 24 licensed professional. Susan has completed the Securities Industry Essentials Examination and the General Securities Representative Examination. Susan is a licensed financial professional providing consulting and non-discretionary advisory services. Susan holds a Platinum Circle - INV REL - Business Entity For Tax/Investment Purposes Only.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
WV
06/05/2019 - Present
LPL Financial LLC (HEDGESVILLE WV)
DC
10/23/2009 - 12/22/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
DC
04/13/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WASHINGTON DC)
MD
01/17/2003 - 05/03/2007
UBS FINANCIAL SERVICES INC. (BETHESDA MD)
NY
12/01/1998 - 01/24/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/03/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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