Susan Maxey is a registered investment advisor at Seneca Private Wealth, LLC, based in Prosper, TX, with 18 years of industry experience. Susan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 10 more. Their firm serves 37 clients with $30M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Maximum annual fee of 1.50% based on assets under management. Fees are negotiable at the firm's discretion.
Fee Estimator
Location
Prosper, TX
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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 →Employment History
Current Registrations
Seneca Private Wealth, LLC
Atlas Legacy Advisors LLC
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
UBS Financial Services 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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