Susan Halpern
Susan Halpern is a registered investment advisor at UBS Financial Services INC., based in Rochester, NY, with 26 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
400 Linden Oaks, Rochester, NY, 14625
Get directionsHistory
Regulatory History (1)
Customer Dispute
September 2021Other Business Activities
Susan is a board member for the Alzheimer's Association and The Chatterbox Club, and an advisor for Planned Parenthood of Central New York. Her work with Planned Parenthood involves monitoring and evaluating their retirement plan and endowment.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Manning & Napier Advisors INC
Manning & Napier Advisory Advantage Corporation
Manning & Napier Investor Services, INC.Broker
M&t Securities, INC.Broker
Merrill Lynch Funds Distributor, INC.Broker
State Registrations18 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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