Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susanne? Claim Your ProfileSusanne Millard is a financial advisor who has been in the industry for over 34 years. Susanne has a long history of working with clients in the financial services industry, having previously worked at UBS Financial Services Inc. and Citigroup Global Markets Inc., and she has been with Raymond James & Associates, Inc. since 2017. Susanne is a licensed broker in 20 states. Susanne has a strong commitment to providing her clients with the highest quality financial advice and service. Susanne holds Series 3, 5, 7, 8, 15, 31, and 66 licenses as well as a SIE license. In addition to her work as a financial advisor, Susanne is involved in a number of community organizations, including Mid Pacific Institute and River of Life Mission.
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
HI
06/23/2017 - Present
Raymond James & Associates, Inc. (Honolulu HI)
HI
06/29/2007 - 07/05/2017
UBS FINANCIAL SERVICES INC. (HONOLULU HI)
HI
03/15/2005 - 07/07/2007
CITIGROUP GLOBAL MARKETS INC. (HONOLULU HI)
NY
03/22/2000 - 10/10/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/26/1978 - 08/14/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/25/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BOTH
Issued 03/24/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/14/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1986
Series 5 - Interest Rate Options Examination
BC
Issued 10/01/1984
Series 3 - National Commodity Futures Examination
BC
Issued 05/22/1984
Series 15 - Foreign Currency Options 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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