Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Winter is a financial professional with over 20 years of experience in the industry. Susan is currently registered with J.p. Morgan Securities LLC and specializes in providing financial planning, portfolio management for businesses and individuals, and selection of other advisors. Susan holds the Series 7, Series 63, Series 24 and Series 79TO licenses, along with the SIE. Previously, Susan has held positions with SVB Securities, A Non-Bank Affiliate of Silicon Valley Bank and Barclays Capital Inc.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/28/2023 - Present
J.p. Morgan Securities LLC (Palo Alto CA)
CA
11/23/2018 - 06/21/2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (SAN FRANCISCO CA)
CA
10/21/2010 - 10/18/2016
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (PALO ALTO CA)
NY
04/27/2006 - 02/06/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/06/1996 - 11/23/1999
CHASE SECURITIES INC. (NEW YORK NY)
BC
Issued 06/01/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/07/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/28/2023
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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