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Susan Amy Howard

Ubs Financial Services Inc.

Stamford, CT

Yorktown Heights, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-02-27
CA RA APPROVED 2026-02-26
TX RA APPROVED_RES 2026-02-26
NJ RA APPROVED 2024-09-11
NY RA APPROVED 2023-05-18
CT RA APPROVED 2022-05-09
  • FL RA
    APPROVED
    Since 2026-02-27
  • CA RA
    APPROVED
    Since 2026-02-26
  • TX RA
    APPROVED_RES
    Since 2026-02-26
  • NJ RA
    APPROVED
    Since 2024-09-11
  • NY RA
    APPROVED
    Since 2023-05-18
  • CT RA
    APPROVED
    Since 2022-05-09

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

Yorktown Heights, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
State Street Global Advisors Funds Distributors Llc Stamford CT 07/2016 02/2019
State Street Bank And Trust Boston MA 07/2016 01/2017
State Street Global Advisors Trust Company Stamford CT 07/2016 02/2019
Ubs Financial Services Inc. Stamford CT 01/2021 Present
Unemployed Yorktown NY 03/2019 12/2020
  • 07/2016 → 02/2019
    State Street Global Advisors Funds Distributors Llc
    Stamford, CT
  • 07/2016 → 01/2017
    State Street Bank And Trust
    Boston, MA
  • 07/2016 → 02/2019
    State Street Global Advisors Trust Company
    Stamford, CT
  • 01/2021 → Present
    Ubs Financial Services Inc.
    Stamford, CT
  • 03/2019 → 12/2020
    Unemployed
    Yorktown, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-09
S63 Uniform Securities Agent State Law Examination 1996-05-13
  • S65 Uniform Investment Adviser Law Examination
    2022-05-09
  • S63 Uniform Securities Agent State Law Examination
    1996-05-13
Other Names
  • Susan Amy Healy
  • Susan A Healy

View on SEC IAPD

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COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
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DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
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