Susan Smith
Susan Smith is a registered investment advisor at The Patriot Financial Group, LLC, based in Worcester, MA, with 3 years of industry experience. Susan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 3,136 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Patriot Financial Group's investment advisory fees range up to 2.50% annually, depending on the complexity of services, the amount of assets managed, and the overall relationship. Fees are calculated based on month/quarter-end security valuations and billed monthly or quarterly. The Patriot Financial Group includes normal securities transaction fees as part of its overall investment advisory fee through The Patriot Financial Group Wrap Fee Program. Fees may be negotiable.
Location
446 Main Street, Ste 1101, Worcester, MA, 01608
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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.
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Susan works full-time as an investment adviser representative for The Patriot Financial Group and as a financial advisor for B&D Advisors LLC. She also works about a quarter of her time as a service assistant for Bowditch & Dewey LLP and owns rental property, dedicating minimal time to it.
Employment History
Current Registrations
The Patriot Financial Group, LLC
Cetera Investment Advisers LLC
Cetera Financial Specialists LLCBroker
Cetera Financial Specialists LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
State Registrations9 states
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