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SE

Susan L. Ellisschwab

ARCADIA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 1383370
SE

Professional summary

Susan L Ellisschwab, who also goes by Susan L Ellis, Susan Lee Ellis, is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1989. Susan has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan L Ellis | Susan Lee Ellis

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 Susan L Ellisschwab'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®
None

Experience

Current

April 22, 2021 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022Office #2: Two Sound View Drive, Greenwich, CT 06830
BD
CRD#: 44656
New York, NY
Past

September 5, 2014 - May 10, 2019

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

May 5, 2005 - September 9, 2014

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

February 5, 2003 - May 10, 2005

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

November 6, 1989 - February 7, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 20, 1989 - March 6, 1990

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 20, 1989 - March 6, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
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

RR
California
(4/28/2021)
RR
Colorado
(4/28/2021)
RR
Connecticut
(4/28/2021)
RR
Illinois
(4/28/2021)
RR
Massachusetts
(4/28/2021)
RR
Minnesota
(4/28/2021)
RR
New Jersey
(4/28/2021)
RR
New York
(4/22/2021)
RR
North Carolina
(4/28/2021)
RR
Pennsylvania
(4/28/2021)
RR
Texas
(4/28/2021)
RR
Washington
(4/28/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/2/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER2290795
KONTULIS, CHARLES PHEDON IIMANAGING DIRECTOR1327613
KONTULIS, CHARLES PHEDON IIROSFP1327613
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

Disclosures

Regulatory Event1

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.

Company Information

ARCADIA SECURITIES, LLC

CRD#: 44656New York, NY 10022

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