Susan Romaine
Susan Romaine is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 27 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 Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
15260 Ventura Boulevard, Suite 1800, Sherman Oaks, CA, 91403
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2008Other Business Activities
Susan is an Officer, Treasurer, Founder, and Board Member for Kitten Rescue, a charity located in Los Angeles. Her activities include fostering, event planning, and policy setting and review.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Prudential Securities IncorporatedBroker
State Registrations35 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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