Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susie? Claim Your ProfileSusie Wong is an investment professional with over 20 years of experience in the financial services industry. Susie is currently a Registered Representative with UBS Financial Services Inc. in Phoenix, Arizona. Before joining UBS Financial Services Inc. in 2015, Susie held various roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Citigroup Global Markets Inc. and Salomon Smith Barney Inc. Susie is a Series 7 and Series 66 licensed professional.
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
AZ
03/20/2015 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
11/11/2014 - 01/27/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
06/13/2012 - 11/06/2014
MORGAN STANLEY (SCOTTSDALE AZ)
NY
03/15/2002 - 06/02/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/09/1998 - 12/31/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 07/28/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2012
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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