Susan K. Perry
Professional summary
Susan K Perry, who also goes by Susan Kay Perry, Susan K Thornton, Susan Kay Thornton, Susan Thornton, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Grand Rapids, Michigan.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1993. Susan has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan K Perry's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503December 8, 2022 - January 16, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2020 - August 22, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 2016 - July 28, 2020
PRINCIPAL SECURITIES, INC.
May 22, 2013 - March 3, 2016
VSR FINANCIAL SERVICES, INC.
August 19, 2011 - October 14, 2011
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 18, 2010 - June 2, 2011
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
October 31, 2005 - February 19, 2010
OSAIC SERVICES, INC.
June 20, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 3, 1998 - July 11, 2002
NATCITY INVESTMENTS, INC.
January 25, 1996 - April 1, 1998
FIRST OF AMERICA SECURITIES, INC.
July 14, 1995 - October 5, 1995
NATCITY INVESTMENTS, INC.
December 14, 1993 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Grand Rapids, MI 49503TRUST BUT VERIFY
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