Suzanne P. Youles
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 Pauline Youles, CFP®, who also goes by Suzanne P Maul, Suzanne Pauline Maul, Suzanne Maul, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1983. Suzanne had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2023 - April 17, 2023
MORGAN STANLEY
November 20, 2012 - April 17, 2023
HARRISDIRECT LLC
November 20, 2012 - April 17, 2023
E*TRADE SECURITIES LLC
February 22, 2012 - April 3, 2012
FOOTHILL SECURITIES, INC.
February 21, 2012 - April 5, 2012
CAPITAL INSIGHT PARTNERS, LLC
January 2, 2009 - February 23, 2012
GIRARD SECURITIES, INC.
December 5, 2008 - February 21, 2012
UNITED CAPITAL FINANCIAL ADVISORS
February 9, 2005 - December 23, 2008
MAUL CAPITAL MANAGEMENT
June 27, 2002 - December 15, 2008
MCM FINANCIAL CORP.
February 24, 1987 - June 24, 1988
WELLS FARGO SECURITIES INC.
January 29, 1986 - December 17, 1986
BA INVESTMENT SERVICES, INC.
September 21, 1983 - March 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 6/19/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
