Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Austin is a financial advisor with over 20 years of experience in the industry. Suzanne has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2014. Previously, Suzanne was with J.P. Morgan Securities LLC. Suzanne is a Certified Financial Planner and holds the Series 7, Series 63, and Series 65 licenses. Suzanne is also registered in multiple states to provide investment advice. Suzanne specializes in working with individuals, businesses, charitable organizations, pension and profit sharing plans, and insurance companies. Suzanne offers a variety of investment services including portfolio management, financial planning, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
07/09/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
10/01/2008 - 07/26/2012
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IL
07/01/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (CHICAGO IL)
IL
02/09/2001 - 07/01/2006
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
02/01/1999 - 04/27/1999
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
12/15/1997 - 02/01/1999
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
IA
Issued 09/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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