Suzanne L. Risser

S.L. REED & COMPANY

Los Angeles, CA 90025-3346

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CRD#: 1303694

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.

Suzanne is registered as a RR (Registered Representative) and started their career in finance in 1987. Suzanne has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Suzanne Risser | Suzi Risser

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 Louise Risser'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 13, 2024 - Present

S.L. REED & COMPANY

Office #1: 11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346

CRD#: 40744

Los Angeles, CA

Past

April 12, 2023 - April 8, 2024

CP INVESTMENTS, LLC

CRD#: 24029

LOS ANGELES, CA

Past

October 21, 2022 - March 17, 2023

PARTNERS FINANCE

CRD#: 315067

HOUSTON, TX

Past

May 2, 2022 - February 1, 2023

GILMARTIN FINANCIAL

CRD#: 312622

LARKSPUR, CA

Past

May 19, 2020 - August 4, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOSTON, MA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

March 2, 2005 - March 8, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

June 8, 2000 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CARLSBAD, CA

Past

April 16, 1999 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CARLSBAD, CA

Past

November 16, 1995 - April 12, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 25, 1994 - November 8, 1995

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

July 16, 1992 - December 21, 1992

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

June 1, 1989 - November 21, 1990

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

January 16, 1989 - June 1, 1989

SHAMROCK PARTNERS, LTD.

CRD#: 20033

Past

August 30, 1988 - October 18, 1988

GARNER JOHNSTON & FRYE SECURITIES, INC.

CRD#: 19988

Past

April 5, 1988 - July 13, 1988

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

September 17, 1987 - April 19, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

February 26, 1987 - October 19, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

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

California
(3/13/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/2/2024

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/21/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

S.L. REED & COMPANY

S. L. REED & COMPANY | S.L. REED & COMPANY

CRD#: 40744 / SEC#: , 8-49178

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346

Mailing Address

11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346

Phone number

(310) 893-3030

Established

California since 01/19/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE WINDWARD CAPITAL GROUP, INC.	SOLE SHAREHOLDER
BRANT, DAVID ROBERT	FINOPS OFFICER	2718478
JOHNSON, JEREMY RONALD	DIRECTOR OF COMPLIANCE	2205695
RISSER, SUZANNE LOUISE	CCO	1303694
ROBILLARD, JOSEPH COLIN	CEO & PRESIDENT	5865733

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Suzanne L. Risser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Suzanne Louise Risser's CRS (Customer Relationship Summary).

Certified licenses

Experience

CP INVESTMENTS, LLC

PARTNERS FINANCE

GILMARTIN FINANCIAL

FORESIDE FUND SERVICES, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

LPL FINANCIAL LLC

SHAMROCK PARTNERS, LTD

SHAMROCK PARTNERS, LTD

SHAMROCK PARTNERS, LTD

SHAMROCK PARTNERS, LTD.

GARNER JOHNSTON & FRYE SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

KIDDER, PEABODY & CO. INCORPORATED

BROOKS WEINGER ROBBINS & LEEDS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/1999

Series 63

Date: 3/12/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

Series 27

Date: 1/2/2024

Series 24

Date: 10/21/1988

FINRA

Current Firm

S.L. REED & COMPANY

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

S.L. REED & COMPANY

TRUST BUT VERIFY

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