Susan Richards, financial advisor New Canaan CT
96 score

Susan Richards

CRD Number: 1057936
Current Firm: Ameriprise Financial Services, Inc.

Susan Richards (CRD# 1057936) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in New Canaan, CT and has over 29 years of experience in the finance industry. Susan Richards 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 put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Ameriprise Financial Services,inc Granite Springs, NY Apr 2013 - Current 3
Girl Scouts Of Westchester,a Valhalla, NY Jan 1982 - Current 34
American Express Financial Advisors Inc. Harrison, NY Sep 1982 - Apr 2013 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1987
S65 NASAA Investment Advisors Law Examination Mar 1993
Contact Info for Susan L. Richards
Phone Number: 612-671-3131
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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