Susan H. Ezekiel

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CRD#: 1903035

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 Hecht Ezekiel, who also goes by Susan Jo Ezekiel, Susan Ezekiel, Susan J. Hecht, Susan Jo Hecht, Susan Hecht Johnson, Susan Jo Johnson, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1988. Susan had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

Rep is an IAR with Prosperity WM This rep will be associated with Grucci & Associates, selling life insurance, LTC, mutual funds and variable annuities Rep is President of Grucci & Associates Rep works as an agent for Ash Brokerage, less than 1 hour per week

Blog Corner

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®

None

Experience

Past

April 8, 2022 - May 23, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

DAYTONA BEACH, FL

Past

April 7, 2022 - May 23, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

DAYTONA BEACH, FL

Past

August 31, 2017 - April 7, 2022

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

Ocean Ridge, FL

Past

June 6, 2017 - March 31, 2022

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Palm Coast, FL

Past

August 31, 2016 - June 7, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

WEST PALM BEACH, FL

Past

October 31, 2011 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

BOYNTON BEACH, FL

Past

October 24, 2011 - June 7, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BOYNTON BEACH, FL

Past

March 4, 2008 - October 7, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

PALM BEACH GARDENS, FL

Past

March 4, 2008 - October 7, 2011

LPL FINANCIAL LLC

CRD#: 6413

PALM BEACH GARDENS, FL

Past

August 23, 2006 - March 4, 2008

IFMG SECURITIES, INC.

RIA

CRD#: 14416

DELRAY BEACH, FL

Past

August 22, 2006 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

DELRAY BEACH, FL

Past

August 7, 2003 - July 24, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

WEST PALM BEACH, FL

Past

August 1, 2003 - July 24, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 30, 2002 - November 1, 2002

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

November 20, 2000 - September 16, 2002

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

BOCA RATON, FL

Past

November 17, 2000 - September 16, 2002

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

January 7, 2000 - May 26, 2000

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

PARKERSBURG, WV

Past

February 10, 1997 - June 9, 1999

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

BETHESDA, MD

Past

July 3, 1995 - December 31, 1995

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 25, 1992 - May 18, 1995

CITIZENS BROKERAGE SERVICES, INC.

CRD#: 17666

Past

November 22, 1991 - May 15, 1992

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

BETHESDA, MD

Past

March 18, 1989 - March 14, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 12, 1988 - January 26, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/1988

General Securities Representative Examination

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Susan H. Ezekiel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

PROSPERITY WEALTH MANAGEMENT, INC.

FORTUNE FINANCIAL SERVICES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

NATIONAL PLANNING CORPORATION

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

UNITED BROKERAGE SERVICES, INC

CHEVY CHASE FINANCIAL SERVICES

MUTUAL SERVICE CORPORATION

CITIZENS BROKERAGE SERVICES, INC.

CHEVY CHASE FINANCIAL SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/1997

Series 63

Date: 3/1/1989

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1988

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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