Suzanne L. Risser
Professional summary
Suzanne Louise Risser, AIF®, who also goes by Suzanne Risser, Suzi Risser, is a registered financial professional currently at S.L. REED & COMPANY located in Los Angeles, California and PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Suzanne is registered as a RR (Registered Representative) and started their career in finance in 1987. Suzanne has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Suzanne Louise Risser's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2024 - Present
S.L. REED & COMPANY
Office #1: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346December 4, 2025 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601April 12, 2023 - April 8, 2024
CP INVESTMENTS, LLC
October 21, 2022 - March 17, 2023
PARTNERS FINANCE
May 2, 2022 - February 1, 2023
GILMARTIN FINANCIAL
May 19, 2020 - August 4, 2021
FORESIDE FUND SERVICES, LLC
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
March 2, 2005 - March 8, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 8, 2000 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 16, 1999 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 16, 1995 - April 12, 1999
LPL FINANCIAL LLC
October 25, 1994 - November 8, 1995
SHAMROCK PARTNERS, LTD
July 16, 1992 - December 21, 1992
SHAMROCK PARTNERS, LTD
June 1, 1989 - November 21, 1990
SHAMROCK PARTNERS, LTD
January 16, 1989 - June 1, 1989
SHAMROCK PARTNERS, LTD.
August 30, 1988 - October 18, 1988
GARNER JOHNSTON & FRYE SECURITIES, INC.
April 5, 1988 - July 13, 1988
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 17, 1987 - April 19, 1988
KIDDER, PEABODY & CO. INCORPORATED
February 26, 1987 - October 19, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/13/2024)
Exams
FINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
Red Flags
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