SS
Suzie P. Sawyer
STIFEL INDEPENDENT ADVISORS
Gulfport, MS 39501
Some features on this profile are disabled
CRD#: 2065686
SS
Professional summary
Suzie P Sawyer, who also goes by Patricia Pierce Sawyer, Patricia Sue Pierce Sawyer, Suzie Pierce Sawyer, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Gulfport, Mississippi.
Suzie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Suzie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Pierce Sawyer | Patricia Sue Pierce Sawyer | Suzie Pierce Sawyer
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.NASD BOARD OF ARBITRATIONS. 2.HARTFORD & PROTECTIVE LIFE FIXED RATE TERM LIFE INSURANCE. 3. SAWYER FINANCIAL; MANAGING DIRECTOR; TO HELP OUR CLIENTS WITH INSURANCE NEEDS; 2 HOURS PER QUARTER; DURSING SECURITIES TRADING HOURS. 4. Trinity Investment Services LLC; 2304 14th Street Gulfport MS 39501; name of their Stifel Independent office; managing director; business owner; authorized to sign checks & disburse funds as needed from acct; affiliation started 02/10/2017; 1.0 hour per month; during securities trading hours; investment-related. 5. FINRRA Dispute Resolution Arbitrator; One Liberty Plaza, New York, NY 10006; Dispute Resolution; Arbitrator; 06/23/2021; 1 Hour per Day; During Securities Trading Hours; Investment-Related. 6. St. John the Evangelist Catholic Church; 2414 17th St Gulfport MS 39501; Finance Committee Chairperson; make recommendations with the committee, the accountant, attorney, priest & other church members; 1/1/2024; 1 hour per month; not during securities trading hours; not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Suzie P Sawyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suzie P Sawyer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 7, 2006 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
Current
March 3, 2006 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
Past
September 12, 2002 - March 6, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
GULFPORT, MS
Past
May 16, 2002 - March 6, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
GULFPORT, MS
Past
May 12, 2000 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BILOXI, MS
Past
May 12, 2000 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 21, 1993 - June 9, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
March 15, 1993 - January 6, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 7, 1992 - February 23, 1994
NORDBERG CAPITAL PARTNERS, INC.
BD
CRD#: 7945
NEW YORK, NY
Past
August 24, 1990 - July 30, 1991
J.C. BRADFORD & CO.
BD
CRD#: 1287
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/3/2006)
RR
California(4/24/2013)
RR
Florida(3/3/2006)
RR
Georgia(11/22/2016)
RR
Louisiana(3/6/2006)
RR
Mississippi(3/3/2006)
IAR
Mississippi(4/7/2006)
RR
Missouri(3/3/2006)
RR
Nebraska(9/19/2024)
RR
New Jersey(8/18/2023)
RR
New Mexico(3/6/2006)
RR
Pennsylvania(2/21/2019)
RR
South Carolina(4/25/2018)
RR
Tennessee(12/1/2014)
IAR
Texas(10/22/2009)
RR
Texas(1/2/2014)
RR
Washington(12/23/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
