Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Rand has been a financial professional since 1986, providing investment advice and guidance to individuals and institutions. Susan is registered with UBS Financial Services Inc., and previously worked with Morgan Stanley, Morgan Stanley & Co. Incorporated, and PaineWebber Incorporated. Currently, Susan is licensed in 25 states and works out of offices in Princeton, NJ; Newtown, PA; and Naples, FL. Susan specializes in providing financial planning, portfolio management, and pension consulting. Susan's background with a wide range of firms allows her to offer a variety of perspectives to her clients.
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
NJ
10/24/2014 - Present
UBS Financial Services Inc. (PRINCETON NJ)
NJ
06/01/2009 - 11/12/2014
MORGAN STANLEY (LAWRENCEVILLE NJ)
NJ
09/17/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAWRENCEVILLE NJ)
NJ
10/14/1999 - 07/25/2007
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
NJ
04/06/1990 - 04/01/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/05/1987 - 03/24/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
10/25/1985 - 09/02/1987
SHEARSON LEHMAN BROTHERS INC.
BC
Issued 02/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
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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