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Suzanne Noelle Batchelder
Suzanne N Batchelder
CRD#: 2881909
IA
B
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E Lincoln Dr
PHOENIX, AZ 85016
PHOENIX, AZ 85016
CHARLES SCHWAB & CO., INC.CRD#: 5393 Phoenix, AZ
0
Disclosures
23
Years of Experience
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State Registrations
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Arizona 5/23/2020
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Texas 5/23/2020
IA
Arizona 1/6/2023
SRO Registrations
B
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Registered with this firm since 1/6/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2020 - 01/11/2023 | Phoenix, AZ | |
IA | 01/08/2018 - 05/24/2020 | SAN ANTONIO, TX | |
B | 11/30/2005 - 05/24/2020 | PHOENIX, AZ | |
IA | 12/07/2005 - 01/08/2018 | PHOENIX, AZ | |
IA | 02/10/2005 - 11/30/2005 | PHOENIX, AZ | |
B | 10/03/2003 - 11/30/2005 | SAN ANTONIO, TX | |
B | 09/01/2000 - 03/04/2003 | LOS ANGELES, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.