Suzanne N. Hickey
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.
Suzanne Nmn Hickey, who also goes by Suzanne Hickey, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1989. Suzanne had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2014 - March 5, 2015
USCA RIA LLC
February 3, 2014 - March 5, 2015
USCA ASSET MANAGEMENT LLC
February 3, 2014 - March 5, 2015
USCA SECURITIES LLC
February 14, 2011 - January 31, 2014
COMMERCE STREET INVESTMENT MANAGEMENT
December 9, 2010 - January 31, 2014
COMMERCE STREET CAPITAL, LLC
May 19, 2000 - July 3, 2002
JACKSON SECURITIES LLC
April 26, 1999 - August 17, 1999
EDUCATION SECURITIES, INC.
March 11, 1998 - March 16, 1999
EDWARD JONES
May 17, 1993 - January 2, 1998
ARTEMIS CAPITAL GROUP, INC.
April 22, 1992 - March 19, 1993
WALTON JOHNSON & COMPANY
December 19, 1989 - January 18, 1991
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
USCA RIA LLC
CRD#: 152170 / SEC#: 801-72105
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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