Suzanne AustinCRD Number: 2970671
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Suzanne Austin (CRD# 2970671) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chicago, IL and has over 30 years of experience in the finance industry. Suzanne Austin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination,pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which putclients' interests first and comply with the Financial Planning Practice Standards.
Upper Left Wealth Management, LLC
Sequoia Wealth Management, LLC
Securities America Advisors, Inc.
|Bank Of America, N.a.||Chicago, IL||Sep 2014 - Current||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Chicago, IL||Jul 2014 - Current||8|
|Unemployed||Chicago, IL||Jul 2012 - Jul 2014||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1998|
|S65||NASAA Investment Advisors Law Examination||Sep 1999|
Total Assets Under Management1,283,838MILLIONS
Total Number of Accounts2,825,602ACCOUNTS
Average Account Value$454,359
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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