Susan A. O'rourke
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 Adelaide O'rourke, who also goes by Sue O'rourke, Susan A O'rourke, Susan Adelaide Orourke, Susan A Trunick, Susan Adelaide Trunick, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 6 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
April 11, 2011 - October 30, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 15, 2009 - October 30, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 18, 2005 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1999 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1992 - May 14, 1999
UBS FINANCIAL SERVICES INC.
April 8, 1989 - August 11, 1992
LEHMAN BROTHERS INC.
June 14, 1988 - March 30, 1989
UBS FINANCIAL SERVICES INC.
February 17, 1987 - August 11, 1992
LEHMAN BROTHERS INC.
July 23, 1985 - February 27, 1987
PRESCOTT, BALL & TURBEN, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
