Suzanne Reynolds-brady
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.
Suzanne Reynolds-brady, who also goes by Suzanne Elaine Reynolds, Suzanne Reynolds, Suzanne Elaine Reynolds-brady, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1983. Suzanne had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 7, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2011 - June 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2011 - June 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2008 - May 19, 2009
ALLSTATE FINANCIAL ADVISORS, LLC
July 7, 2006 - May 8, 2009
ALLSTATE FINANCIAL SERVICES, LLC
December 1, 2003 - June 12, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - June 12, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 23, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
November 5, 1996 - August 15, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 1987 - August 23, 1995
CHARLES SCHWAB & CO., INC.
August 24, 1983 - April 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 15
Date: 2/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 11/1/1983
Interest Rate Options ExaminationSeries 12
Date: 11/22/1983
NYSE Branch Manager ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
