Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Duffy is a financial professional with over 30 years of experience in the industry. Suzanne is currently registered with Goldman Sachs & Co. LLC. Suzanne previously worked at FIRST ASSET MANAGEMENT, INC. and COMMONWEALTH ASSOCIATES. Suzanne has a broad range of experience in the financial industry and has earned multiple licenses and certifications. These include Series 63, Series 57TO, SIE, Series 7, and Series 62. Suzanne specializes in various financial products and services including portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
NY
05/04/1998 - Present
Goldman Sachs & Co. LLC (NEW YORK NY)
NY
08/14/1992 - 04/09/1998
FIRST ASSET MANAGEMENT, INC. (GARDEN CITY NY)
NY
08/03/1992 - 09/11/1992
COMMONWEALTH ASSOCIATES (NEW YORK NY)
BC
Issued 08/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/30/1992
Series 62 - Corporate Securities Limited 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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