Experience Makes all the difference

 

Sue has 18 years of wealth management experience. Sue is a FINRA-Registered General Securities Representative, Registered Investment Advisor Representative, and holds licenses for life insurance, health insurance, variable annuities and commodities. In addition, Sue has been a Certified Financial Planner ™ since 2003. Sue received her B.A. degree in Government/Political Science from The College of William and Mary.

 

Professional Experience

Company

Title

Location

Duration

UBS Financial Services Inc.

First Vice President, Wealth Management, CFP®

Encino CA

October 2014 - Present

Morgan Stanley Smith Barney

Vice President, Wealth Management, CFP®

Sherman Oaks CA

March 2002 - October 2014

Prudential Securities

Financial Advisor

Encino CA

September 1998 - March 2002

Education

  • College of Financial Planning
  • Certified Financial Planner Certification #87243
  • College of William and Mary, Bachelor of Arts 1977

Licenses

  • Series 7
  • Series 63 & 65
  • California Life and Health 0C56327

Personal & Community

  • Kitten Rescue, Founder and Vice President

Registered States:

AZ, CA, GA, HI, ID, IN, MA, MI, MN, NV, NY, OR, PA, SC, TX, VA, WA