Suzanne M. Finch

HENNION & WALSH

Boca Raton, FL 33431

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CRD#: 1188088

Professional summary

Suzanne Michelle Finch, who also goes by Suzanne Michelle Burch, is a registered financial professional currently at HENNION & WALSH, INC. located in Boca Raton, Florida.

Suzanne is registered as a RR (Registered Representative) and started their career in finance in 1994. Suzanne has worked at 3 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Suzanne Michelle Burch

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Suzanne Michelle Finch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 13, 2013 - Present

HENNION & WALSH, INC.

Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431

CRD#: 25766

Boca Raton, FL

Past

May 24, 1996 - December 31, 2013

PMK SECURITIES & RESEARCH, INC.

CRD#: 40145

DELRAY BEACH, FL

Past

January 17, 1994 - May 24, 1996

RUAN SECURITIES CORPORATION

CRD#: 16276

DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(12/26/2013)

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HENNION & WALSH, INC.

HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.

CRD#: 25766 / SEC#: , 8-41988

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Mailing Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Phone number

(973) 299-8989

Established

New Jersey since 10/24/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HENNION, RICHARD	EXECUTIVE VICE PRESIDENT	1315386
WALSH, WILLIAM WALTER	PRESIDENT	1174993
FITZSIMMONS, PHILLIP	CHIEF COMPLIANCE OFFICER	1625889
HENNION, WILLIAM	VICE PRESIDENT	2048378
KOWALSKI, STEPHEN GEORGE	VICE PRESIDENT	1919574
MAHN, KEVIN DOUGLAS	MANAGING DIRECTOR	2519398
WURST, WENDY ANN	FINOP, TREASURER	1902879

Disclosures

Regulatory Event	12
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Suzanne M. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Suzanne Michelle Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENNION & WALSH, INC.

PMK SECURITIES & RESEARCH, INC.

RUAN SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/22/1993

Series 24

Date: 7/24/2014

FINRA

Current Firm

HENNION & WALSH, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HENNION & WALSH, INC.

TRUST BUT VERIFY

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