SC
Susan L. Crown
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CRD#: 1453538
SC
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 Lyn Crown, CIMA® was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1986. Susan had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1) 714 MADISON ST LLC; 2125 14th St NW 301W, Washington, DC 20009; Construct and sell 2 townhouses on property currently owned; Sole proprietorship; Owner of the land, working with contractor to develop residential property for eventual sale; 3/18/2014; Business hours per month: No // 2)CROWN AND SARMADI, LLC; 508 S Main St, Blacksburg, VA 24060; Commercial Real Estate building; Partner; managing a piece of commercial real estate; 9/26/2016; Business hours per month: No //3) DC SQUARED, LLC; 2125 14th ST NW 301W, Washington, DC 20009; renovating residential real estate for resale; Partner; Oversee the purchase and renovation of properties. Selecting the general contractor for projects; 2/18/2014; Business hours per month: No // 4)RED FISH LLC c/o WT Construction; 6115 North Dakota Ave NW, Washington, DC 20011; Purchase, renovate and rent or sell improved residential homes in Washington DC; Partner; Working with the other 50% partner to buy, renovate, rent and/or sell residential real estate; 5/25/2018; Business hours per month: No // 5) SARMADI BROTHERS, LLC; 4918 St. Elmo Ave #902, Bethesda, MD 20814; High end mens clothing; Partner; none; 1/29/2016; Business hours per month: No 6) Wadsworth House Condominium Board/ investment related?: yes/ c/o Chatel Real Estate, Inc 1015 18th St, NW #500/ 2 year term serving on the condominium board as a general board member and as an officer (Treasurer)/ Attend regular meetings; perform duties as treasurer, such as develop and present annual budget and interact with auditors and accountants; with the board and outside management company oversee the running of the condominium/ start date: 7/3/2021/
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
May 4, 1998 - June 28, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WASHINGTON, DC
Past
October 24, 1997 - March 13, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WASHINGTON, DC
Past
January 21, 1986 - October 30, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
