Susan A. Sylvest

MURPHY & SYLVEST

Dallas, TX 75240

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CRD#: 1315321

Professional summary

Susan Ann Sylvest, AIF®, who also goes by Susan Ann Maddocks, Susan Ann Manos, Susan Ann Rouke, Susan (rouke) Sylvest, is a registered financial advisor currently at MURPHY & SYLVEST located in Dallas, Texas.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Susan has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Ann Maddocks | Susan Ann Manos | Susan Ann Rouke | Susan (rouke) Sylvest

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) - RIA

Click below to view Susan Ann Sylvest'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

January 3, 2013 - Present

MURPHY & SYLVEST

Office #1: 13760 Noel Road Suite 300, Dallas, TX 75240

RIA

CRD#: 165130

Dallas, TX

Past

January 31, 2007 - January 15, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DALLAS, TX

Past

January 31, 2007 - January 15, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

DALLAS, TX

Past

February 17, 2006 - January 22, 2007

ANNANDALE CAPITAL, LLC

RIA

CRD#: 136667

DALLAS, TX

Past

January 31, 2003 - June 23, 2005

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

SAN ANTONIO, TX

Past

April 11, 2002 - January 15, 2003

FISHER INVESTMENTS

RIA

CRD#: 107342

COPPELL, TX

Past

January 1, 1997 - February 8, 2002

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 10, 1993 - January 23, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MURPHY & SYLVEST

MURPHY & SYLVEST | SYLVEST ADVISORS, LLC

CRD#: 165130 / SEC#: 801-113128

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Louisiana

Registered Investment Advisory firm - (5/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(8/22/2014)

IAR

Texas
(1/3/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/9/1993

General Securities Representative Examination

Current Firm

MURPHY & SYLVEST

MURPHY & SYLVEST | SYLVEST ADVISORS, LLC

CRD#: 165130 / SEC#: 801-113128

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Louisiana

Registered Investment Advisory firm - (5/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

13760 Noel Road Suite 300, Dallas, TX 75240

Mailing Address

Phone number

(214) 373-8362

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,186
AUM (Assets Under Management)	$ 378,968,097

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
10/25/2023	Cover Page	Report
12/07/2022	Cover Page	Report

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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Firm Stability Insights

Susan A. Sylvest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Ann Sylvest's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ANNANDALE CAPITAL, LLC

FROST BROKERAGE SERVICES, INC.

FISHER INVESTMENTS

BANC ONE SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MURPHY & SYLVEST

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1993

Series 63

Date: 12/20/1993

Series 7

Date: 12/9/1993

Current Firm

MURPHY & SYLVEST

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MURPHY & SYLVEST

TRUST BUT VERIFY

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