Hal Sussman
Hal Sussman is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Encino, CA, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
16133 Ventura Boulevard, Suite 530, Encino, CA, 91436
Get directionsHistory
Regulatory History (12)
Judgment / Lien
September 2022Judgment / Lien
October 2019Judgment / Lien
October 2019Judgment / Lien
April 2018Judgment / Lien
January 2017Customer Dispute
April 2011Customer Dispute
March 2011Customer Dispute
February 2011Employment Separation After Allegations
November 2010Customer Dispute
July 2009Criminal
December 1980Criminal
March 1979Other Business Activities
Hal is the CEO of Sussman Wealth Strategies Group, his financial advisory practice affiliated with Raymond James. He also serves as a board member and finance/investment committee member for the Young Musicians Foundation, a non-profit organization, dedicating minimal time to this role.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Prudential Securities IncorporatedBroker
Lehman Brothers INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
B.O.C.L. Securities CORP.Broker
State Registrations10 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.