Susan G. Warso
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 Gayle Warso, who also goes by Susan Gayle Silverman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1986. Susan had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2016 - April 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2016 - April 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2007 - November 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 19, 2006 - November 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 20, 2004 - June 15, 2006
UBS FINANCIAL SERVICES INC.
March 11, 2003 - July 15, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 19, 1999 - January 23, 2003
VERAVEST INVESTMENT ADVISORS, INC.
October 19, 1998 - January 22, 2003
VERAVEST INVESTMENTS, INC.
May 27, 1997 - December 18, 1997
MML INVESTORS SERVICES, LLC
December 12, 1996 - April 9, 1997
MUTUAL SERVICE CORPORATION
September 29, 1995 - September 24, 1996
JOHN HANCOCK DISTRIBUTORS LLC
December 19, 1994 - August 26, 1995
SECURIAN FINANCIAL SERVICES, INC.
January 22, 1986 - November 1, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 22, 1986 - November 1, 1994
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
