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Susan E. Nock

Some features on this profile are disabled
CRD#: 2116499
SN

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 Ellen Nock, who also goes by Susan E Nock, Susan Nock, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 1991. Susan had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan E Nock | Susan Nock

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.
The advisor shows no other business activity.

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

October 7, 2016 - March 20, 2017

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

January 20, 2015 - September 1, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
New York, NY
Past

September 12, 2005 - January 28, 2015

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

June 3, 2002 - September 15, 2005

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

March 28, 2000 - June 3, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 7, 1999 - March 20, 2000

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

June 10, 1997 - March 3, 1999

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

January 6, 1994 - April 18, 1996

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 5, 1993 - December 3, 1993

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 19, 1991 - December 16, 1992

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 11, 1991 - April 19, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 11, 1991 - April 19, 1991

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
RR
Series 63
Date: 5/8/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/20/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/9/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CA
COLUMBUS ADVISORY GROUP, LTD.
COLUMBUS ADVISORY GROUP, LTD. | OLYMPIA ASSET MANAGEMENT,LTD. | MURPHY FINANCIAL GROUP, INC.

CRD#: 126331 / SEC#: , 8-65875

BD
Terminated by SEC on 01/31/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/11/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MURPHY, MICHAEL PATRICKFOUNDING PARTNER2596905
BUNSIS, MICHAEL OWENFINANCIAL OPERATIONS MNGR.2756066
MCNULTY, MICHAEL PATRICKCCO2958550
MCNULTY, MICHAEL PATRICKINTERIM CEO

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

COLUMBUS ADVISORY GROUP, LTD.

CRD#: 126331

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