Susan S. Spraker
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.
Susan Shannon Spraker, who also goes by Susan S Daly, Susan Shannon Daly, Susan Daly, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 5 firms and has passed the Series 63 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
June 18, 2008 - July 24, 2024
SPRAKER WEST WEALTH MANAGEMENT, INC
December 17, 1998 - August 8, 2008
MOISAND FITZGERALD TAMAYO, LLC
November 20, 1998 - May 2, 2002
SIGNATURE ESTATE SECURITIES, LLC
September 27, 1985 - November 28, 1998
CFG SECURITIES CORP.
February 21, 1985 - October 10, 1985
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
SPRAKER WEST WEALTH MANAGEMENT, INC
CRD#: 147075 / SEC#: 801-69187
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
SPRAKER WEST WEALTH MANAGEMENT, INC
CRD#: 147075 / SEC#: 801-69187
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 476 |
| AUM (Assets Under Management) | $ 249,466,930 |
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.
