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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

SUSAN L. TUNELL

Advisor at UBS FINANCIAL SERVICES INC.

PASADENA, CA | BREA, CA | El Segundo, CA

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Search this name across graphsid dfx:ria:7f10c2d1-99ca-6b94-160b-48e9d05c6902

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Mar 8, 2005
First registration: Jun 29, 2009
Dual registered: yes, broker-dealer
Other names: SUSAN M LEPTUCH|SUSAN MARIE LEPTUCH|SUSAN LEPTUCH
IAPD individual key: 4864833

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 2, 2010	n/a	yes	El Segundo, CA\|BREA, CA\|PASADENA, CA	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 8, 2010	Nov 2, 2010	no	SCOTTSDALE, AZ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 11, 2010	May 19, 2010	no	PHOENIX, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 29, 2009	Jan 29, 2010	no	PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OPPENHEIMER & CO. INC.	UBS FINANCIAL SERVICES INC.	Nov 2, 2010	Nov 2, 2010	0	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	OPPENHEIMER & CO. INC.	May 19, 2010	Jun 8, 2010	20	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Jan 29, 2010	Feb 11, 2010	13	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Nov 2, 2010 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jun 8, 2010 to Nov 2, 2010factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Feb 11, 2010 to May 19, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 29, 2009 to Jan 29, 2010factForm ADV

Dated events

No dated event names this entity yet.