Lasting relationships. For all that matters

Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.

Women-multigen family

Susan Romaine, CFP®

Senior Vice President–Wealth Management

Financial Advisor

Sue has over 24 years of experience in private wealth management. She began her career in 1998, received the Certified Financial Planner ™ designation in 2003 and is currently a Senior Vice President-Wealth Management with UBS Financial Services Inc.  She understands that it's the important things--our families, our values, the impact we have on others--that connect us.  Making sense of life's changes can be hard, so asking the right questions can make things clearer.  Sue wants to ask the life questions that are important to you, and work together to find the answers for your needs.

Her comprehensive wealth management approach focuses on:

Longevity planning, to meet your financial needs for your entire lifetime.

Legacy planning, to help ensure your wealth is passed on to your family for generations to come.

Life transition planning, as your move through the stages of life from single life to family life to retirement.

Sue received her B.A. degree in Government/Political Science from The College of William and Mary.  Sue holds the Certified Financial Planner™ designation, life and health insurance licenses, and the Series 7,31, 63 and 64 securities licenses.

Outside of work, Sue also strives to make a difference.  She is very proud to have founded the non-profit organization Kitten Rescue, Los Angeles in 1997 and still serves on the Board of Directors and as Treasurer.  She has a love of art and is on the Board of Directors of the Japanese Art Society of America and the International Netsuke Society.  Sue lives in Encino with  three beloved "foster fail" cats.

Registered States:
  • AR
  • AZ
  • CA
  • CO
  • CT
  • DC
  • DE
  • FL
  • GA
  • HI
  • IA
  • ID
  • IL
  • IN
  • KS
  • KY
  • MA
  • MD
  • ME
  • MI
  • MN
  • MO
  • MS
  • MT
  • NC
  • NH
  • NJ
  • NM
  • NV
  • NY
  • OH
  • OK
  • OR
  • PA
  • RI
  • SC
  • SD
  • TN
  • TX
  • UT
  • VA
  • WA
  • WI
  • WY

Education

  • College of Financial Planning
  • Bachelor of Arts, College of William and Mary

Credentials

  • CERTIFIED FINANCIAL PLANNER™
  • Senior Portfolio Manager
  • Chartered Retirement Planning Counselor

Our advice is comprehensive. We help diverse clients in a broad range of areas, including:

Financial planning
Retirement planning
Estate planning strategies
Special needs
Philanthropy
Education planning
15260 Ventura Blvd
Suite 1800
Sherman Oaks, CA 91403
  • (818) 377-8832

Email Me

Defining your priorities. Pursuing what matters.

Our experience and structured planning process drives a comprehensive financial plan and customized investment strategies. Depending on where you are in your life and the priorities that matter most, our planning conversations may focus on liquidity management, your cash flow needs, asset replacement solutions such as insurance, estate planning strategies, or tax and legal structures such as trusts and philanthropic vehicles.

Your life, wealth and future

Your life, wealth and future

Multigenerational planning

Multigenerational planning

Helping women take charge

Helping women take charge

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

  • Sue

    Susan Romaine

    Senior Vice President–Wealth Management

    Financial Advisor

    • image
    • image
    • image
    • AR
    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • HI
    • IA
    • ID
    • IL
    • IN
    • KS
    • KY
    • MA
    • MD
    • ME
    • MI
    • MN
    • MO
    • MS
    • MT
    • NC
    • NH
    • NJ
    • NM
    • NV
    • NY
    • OH
    • OK
    • OR
    • PA
    • RI
    • SC
    • SD
    • TN
    • TX
    • UT
    • VA
    • WA
    • WI
    • WY

    Sue has over 24 years of experience in private wealth management. She began her career in 1998, received the Certified Financial Planner ™ designation in 2003 and is currently a Senior Vice President-Wealth Management with UBS Financial Services Inc.  She understands that it's the important things--our families, our values, the impact we have on others--that connect us.  Making sense of life's changes can ge hard, so asking the right questions can make things clearer.  Sue wants to ask the life questions that are important to you, and work together to find the answers for your needs.

    Her comprehensive wealth management approach focuses on:

    Longevity planning, to meet your financial needs for your entire lifetime.

    Legacy planning, to help ensure your wealth is passed on to your family for generations to come.

    Life transition planning, as your move through the stages of life from single life to family life to retirement.

    Sue received her B.A. degree in Government/Political Science from The College of William and Mary.  Sue holds the Certified Financial Planner™ designation, life and health insurance licenses, and the Series 7,31, 63 and 64 securities licenses.

    Outside of work, Sue also strives to make a difference.  She is very proud to have founded the non-profit organization Kitten Rescue, Los Angeles in 1997 and still servces on the Board of Directors and as Treasurer.  She has a love of art and is on the Board of Directors of the Japanese Art Society of America and the International Netsuke Society.  Sue lives in Encino with  three beloved "foster fail" cats.

          15260 Ventura Blvd
          Suite 1800
          Sherman Oaks, CA 91403
        • Cindy

          Cindy Carlson

          Client Associate

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                  15260 Ventura Blvd
                  Suite 1800
                  Sherman Oaks, CA 91403

                Legacy—Wealth for others

                For needs that go beyond your own—to help you improve the lives of others

                What will your legacy be?
                It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

                Learn more at ubs.com/wealthway.

                Backed by the strength of UBS

                A global leader in wealth management

                $2.8 trillion

                In invested assets globally 
                As of 06/30/2022

                51 countries

                Our global footprint

                Global leader

                UBS is a world-leading wealth manager

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