Suchitra S. Busch
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.
Suchitra Sampath Busch, who also goes by Susan Busch, Suchitra Sampath, Susan Sampath, Susie Sampath, was a registered financial professional .
Suchitra is a previously registered financial professional and started their career in finance in 1993. Suchitra had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2025 - May 5, 2025
EP WEALTH ADVISORS
January 22, 2014 - January 21, 2025
EXECUTIVE WEALTH MANAGEMENT, LLC
January 16, 2014 - November 3, 2016
INVEST FINANCIAL CORPORATION
January 15, 2014 - November 3, 2016
INVEST FINANCIAL CORPORATION
December 26, 2008 - November 6, 2013
STRATEGIC ADVISERS LLC
December 22, 2008 - November 6, 2013
FIDELITY BROKERAGE SERVICES LLC
November 29, 2007 - December 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2007 - December 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2006 - August 9, 2007
FIFTH THIRD SECURITIES, INC.
September 21, 2004 - August 9, 2007
FIFTH THIRD SECURITIES, INC.
February 24, 1999 - August 16, 2004
CHARLES SCHWAB & CO., INC.
January 9, 1995 - February 16, 1999
MORGAN STANLEY DW INC.
October 12, 1994 - December 13, 1994
KEYBANC CAPITAL MARKETS INC.
July 29, 1993 - October 7, 1993
JANUS HENDERSON DISTRIBUTORS US LLC
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
Current Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
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.
