Suzann E. Thomson
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.
Suzann Ellen Thomson, CFP®, who also goes by Suzann Ellen Thompson, Suzann Thomson, was a registered financial professional .
Suzann is a previously registered financial professional and started their career in finance in 1984. Suzann had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - April 11, 2026
SCHWAB WEALTH ADVISORY, INC.
February 6, 2003 - December 31, 2011
CHARLES SCHWAB & CO., INC.
July 18, 1996 - April 11, 2026
CHARLES SCHWAB & CO., INC.
February 4, 1992 - February 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1984 - April 3, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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