Susan Esses
Susan Esses is a CFP-designated registered investment advisor at Principal Securities, INC., based in Chicago, IL, with 43 years of industry experience. Susan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
Chicago, IL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Susan owns and rents real estate property since 2011. She also sells fixed life and health insurance through various carriers, as well as fixed insurance, group, disability income (DI), and long-term care (LTC) insurance.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Lincoln Financial Advisors CorporationBroker
Lincoln Financial Advisors Corporation
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
Equico Securities, INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
Long Grove Trading CO.Broker
G. A. Horwitz & CO., INC.Broker
Wall Street Financial INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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