Sue A. Appleby

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CRD#: 2196505

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.

Sue Ann Appleby, CFP®, who also goes by Sue Dailey, was a registered financial professional .

Sue is a previously registered financial professional and started their career in finance in 1992. Sue had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Long-term Care

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Retirement Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

Sue Dailey

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)Name of Business: A & H Partnership Address: 175 Cadillac Court, Suites 1-5, Belvidere, IL 61008, Belvidere, IL, 61008, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 11/01/2000 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Partner that takes care of tenants when they have a problem. Little time is spent, we have maitenance man who takes care of property issues. Other partner does the bookwork. (2)Name of Business: Timber Pointe Golf Club, Llc Address: 5750 Woodstock Road, Poplar Grove, Il 61065, Poplar Grove, IL, 61065, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 05/14/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Llimited Partner

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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Past

May 21, 2012 - April 5, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Belvidere, IL

Past

May 14, 2012 - April 5, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Belvidere, IL

Past

September 28, 2006 - May 24, 2012

EDWARD JONES

RIA

CRD#: 250

BELVIDERE, IL

Past

February 27, 1996 - May 24, 2012

EDWARD JONES

CRD#: 250

BELVIDERE, IL

Past

May 15, 1995 - March 4, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 31, 1992 - May 19, 1995

RESOURCE INVESTMENTS

CRD#: 28924

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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

Series 63

Date: 4/2/1992

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: 12/7/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Sue A. Appleby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

LPL FINANCIAL LLC

RESOURCE INVESTMENTS

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/7/1993

Series 6

Date: 1/30/1992

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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