Suzanne P. Mcgrath
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 Phelps Mcgrath was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1983. Suzanne had worked at 3 firms and has passed the Series 65, Series 63, Series 7 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
August 12, 1999 - December 31, 2024
VISION CAPITAL MANAGEMENT INC
August 3, 1990 - August 30, 1999
PIPER SANDLER & CO.
November 25, 1983 - August 7, 1990
BLACK & COMPANY, INC.
Primary Firm SEC Registration
VISION CAPITAL MANAGEMENT INC
CRD#: 107793 / SEC#: 801-56669
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
Current Firm
VISION CAPITAL MANAGEMENT INC
CRD#: 107793 / SEC#: 801-56669
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,743 |
| AUM (Assets Under Management) | $ 1,073,328,261 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 02/22/2024 | ||
| 02/28/2023 |
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.
