Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Valdivia is a financial advisor with Raymond James & Associates, Inc. Susan has been in the financial services industry since August 2006. Susan has a strong track record of success in providing financial advice to individuals, families, and businesses. She is committed to providing her clients with personalized financial planning and investment management services. Susan is registered to offer securities in Alaska, Arizona, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Illinois, Kansas, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New Mexico, New York, Oregon, Pennsylvania, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming. Susan holds the Series 66, SIE, and Series 7 licenses. Susan is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
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
CA
01/14/2015 - Present
Raymond James & Associates, Inc. (BEVERLY HILLS CA)
CA
05/25/2007 - 02/04/2015
RBC CAPITAL MARKETS, LLC (CENTURY CITY CA)
CA
08/22/2006 - 05/30/2007
WACHOVIA SECURITIES, LLC (LOS ANGELES CA)
BOTH
Issued 11/14/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2006
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
Not sure Susan Valdivia is the right advisor for you? Invested Better is here to help.
