Susan Hutman
Professional summary
Susan Hutman, who also goes by Susan Buchsbaum, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Hutman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2026 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017October 21, 1999 - March 3, 2023
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 21, 1998 - July 7, 1999
UBS FINANCIAL SERVICES INC.
May 17, 1995 - January 9, 1998
UBS FINANCIAL SERVICES INC.
July 27, 1994 - March 3, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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