Susan E. Dorsey
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 Elizabeth Dorsey, who also goes by Susan Elizabeth Algert, Susan Algert, Susan Elizabeth Bacon, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1990. Susan had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2007 - September 5, 2023
CARY STREET PARTNERS
June 22, 2007 - September 5, 2023
CARY STREET PARTNERS
January 27, 2004 - June 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2004 - June 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 12, 2001 - December 31, 2002
LEGG MASON WOOD WALKER, INCORPORATED
January 30, 2001 - December 31, 2002
LEGG MASON WOOD WALKER, INCORPORATED
October 1, 1999 - February 8, 2001
WELLS FARGO CLEARING SERVICES, LLC
March 20, 1990 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 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.
