Susan Stephens, financial advisor Fort Lauderdale FL

Susan Stephens

CRD Number: 2400351
Current Firm: Oppenheimer & Company Inc.

Susan Stephens (CRD# 2400351) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Fort Lauderdale, FL and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Oppenheimer & Company Inc. Ft. Lauderdale, FL Oct 2010 - Current 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1993
S65 NASAA Investment Advisors Law Examination Nov 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Susan L. Stephens
Phone Number: 212-668-8000
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    22,651
    MILLIONS
  • Total Number of Accounts
    32,333
    ACCOUNTS
  • Average Account Value
    $700,552
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • 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)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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