An experienced and committed team

Susan Romaine

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 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.

Registered States:
  • AR
  • AZ
  • CA
  • CO
  • CT
  • DC
  • DE
  • FL
  • GA
  • HI
  • IA
  • ID
  • IL
  • IN
  • KS
  • KY
  • MA
  • MD
  • ME
  • MI
  • MN
  • MS
  • MT
  • NC
  • NH
  • NJ
  • NM
  • NV
  • NY
  • OH
  • OK
  • OR
  • PA
  • RI
  • SC
  • SD
  • TN
  • TX
  • UT
  • VA
  • WA
  • WY
15260 Ventura Blvd
Suite 1800
Sherman Oaks, CA 91403

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Cindy Carlson

Client Associate

15260 Ventura Blvd
Suite 1800
Sherman Oaks, CA 91403

Email Me