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
(5/12/2026)
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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