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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Katz is a financial advisor with over 20 years of experience in the industry. Suzanne is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since June 2012. Prior to that, Suzanne was a registered representative with MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Suzanne holds Series 3, 7, 63, and 65 licenses, and the SIE exam. Suzanne is a licensed investment advisor in New York and Texas, and is also registered as a broker-dealer in numerous states. Suzanne has experience working with a variety of clients, including individuals, corporations, businesses, and institutions. Suzanne's specializations include portfolio management, financial planning, and investment research. Suzanne is committed to providing her clients with personalized financial advice and services. Suzanne is also involved in several charitable organizations and serves on the finance committee for Women Owned Law, an organization dedicated to the advancement of women legal entrepreneurs.
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
NY
11/29/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
06/01/2009 - 06/28/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
07/23/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 08/21/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2006
Series 3 - National Commodity Futures Examination
BC
Issued 07/20/2001
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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