Susan L. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Leonard Brown, who also goes by Susan Ann Leonard, Susan Ann Mccabe, Susan Ann Mcginnis, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - January 12, 2021
B. RILEY WEALTH MANAGEMENT
April 13, 2015 - January 12, 2021
B. RILEY WEALTH MANAGEMENT
July 8, 2013 - April 7, 2014
B. RILEY WEALTH MANAGEMENT
July 8, 2013 - April 7, 2014
B. RILEY WEALTH MANAGEMENT
April 4, 2012 - October 8, 2012
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2012 - October 8, 2012
RAYMOND JAMES & ASSOCIATES, INC.
January 5, 2004 - October 8, 2012
MORGAN KEEGAN & COMPANY, LLC
September 17, 1984 - October 8, 2012
MORGAN KEEGAN & COMPANY, LLC
May 16, 1984 - August 20, 1984
BOETTCHER & COMPANY, INC.
January 22, 1982 - June 11, 1984
MORGAN STANLEY DW INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 11/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
