Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Marie Smith has been a registered representative in the financial services industry since 2003. Suzanne is currently a registered representative of Fidelity Personal and Workplace Advisors and holds registrations in multiple states. Suzanne has a wide range of experience in the financial services industry, with previous employment at a number of firms including Franklin/Templeton Distributors, Inc., Zions Direct, Inc., U.S. Bancorp Investments, Inc., Morgan Stanley DW Inc., and NYLIFE Securities Inc. Suzanne has passed a number of securities and investment industry examinations including the Series 7, Series 6, Series 63, and Series 66 exams. Suzanne specializes in providing financial planning, portfolio management, and educational seminars to individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
CA
05/17/2007 - 03/19/2010
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (RANCHO CORDOVA CA)
CA
07/03/2006 - 05/02/2007
ZIONS DIRECT, INC. (SACRAMENTO CA)
CA
07/14/2005 - 06/23/2006
U.S. BANCORP INVESTMENTS, INC. (WEST SACRAMENTO CA)
NY
10/13/2003 - 07/01/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/01/2003 - 09/15/2003
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 06/14/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/31/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2003
Series 7 - General Securities Representative Examination
BC
Issued 07/31/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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