Susan RichardsCRD Number: 1057936
Current Firm: Round Rock Advisors LLC
Susan Richards (CRD# 1057936) is an Investment Advisor Representative working at Round Rock Advisors LLC in New Canaan, CT and has over 30 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.
Altium Wealth Management LLC
American Portfolios Advisors, Inc.
Karagosian Financial Services, Inc.
|Round Rock Advisors LLC||New Canaan, CT||Apr 2017 - Current||1|
|Girl Scouts Of Westchester,a||Valhalla, NY||Jan 1982 - Current||36|
|Ameriprise Financial Services, Inc.||Granite Springs, NY||Apr 2013 - Apr 2017||4|
|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|
Total Assets Under Management121MILLIONS
Total Number of Accounts1,247ACCOUNTS
Average Account Value$97,131
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses